SFC Licensing

A financial institution in Hong Kong is seeking a Responsible Officer to lead the application process for SFC Type 1 licenses. The ideal candidate must have a minimum of 5 years' experience in securities and asset management and be currently accredited by SFC. Responsibilities include preparing documentation for compliance, developing internal controls, and...

SFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...

A financial services company in Hong Kong is seeking a Senior Compliance Officer to manage SFC licensing matters, support regulatory investigations, and conduct AML reviews. The role requires a Bachelor’s degree in a relevant field, 1-3 years of compliance experience, and proficiency in English and Chinese, with Mandarin preferred. Strong organizational...

A financial services firm in Hong Kong is seeking a qualified individual to report directly to the CEO. This role involves supervising regulated activities, developing business strategies, and ensuring compliance with local regulations. Candidates must have a university degree in Banking or Finance, a minimum of 5 years in the financial industry, and possess...

A consulting firm specializing in regulatory compliance is seeking an Associate Compliance Consultant to join their team in Hong Kong. The role involves handling SFC licensing matters, providing consultancy services, and preparing operational procedures. Candidates should have a degree in a related field and 1-2 years of experience in compliance. Proficiency...

Finance Associate/ Senior Accountant, A SFC Licensed Co. (PRC Securities Firm) Our client, a Top-tier PRC investment bank with SFC Type 1,2,4,5,6&9 licenses, is now looking for a Finance Manager (/Senior Accountant) to join the elite team. Responsibilities Responsible for daily accounting functions such as financial reporting, journal voucher preparation,...

Responsible Officer with SFC Type 4 & 9 licenses Add expected salary to your profile for insights Implementation of investment strategies and policies to achieve strategic return and meet risk objectives Screen investment projects, prepare analysis at various stages and be responsible for the trade execution Conducting investment research, modelling and...

A financial services firm is seeking a Dealer to execute dealing orders in the global securities and futures market. Candidates should have a degree, at least 2 years of dealing experience, and hold SFC licenses RA1 and RA2. Proficiency in both English and Chinese is required, along with a solid understanding of financial markets and trading systems. The...

Finance manager, SFC License Corporation, a Top-Tier PRC investment bank Our client, a leading PRC investment bank engaging in a wide range of services such as securities brokerages, investment banking, asset management and private wealth management, is now looking for a Finance Manager (Team Head for financial accounting team) to join them. Responsibilities...

Responsible Officer (SFC) Assist SFC license application in preparing and setting up process, operations and infrastructure of the firm. Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm. Manage daily operations to ensure full regulatory compliance. Comply with all applicable laws, rules...