Responsible Officer Type 9
3 days ago
Responsibilities Act as the Responsible Officer for SFC Type 9 regulated activities, managing daily operations to ensure full regulatory compliance with the Securities and Futures Ordinance. Register as a Director for Type 9 Company under the Companies Ordinance and Securities and Futures Ordinance. Providing expert guidance and oversight for the setup of funds, particularly focusing on Cayman and Hong Kong LPF structure. Monitor transactions and identify potential risks or compliance issues. Maintain effective communication and relationships with regulators, key partners, banks, brokerages and other external institutions for relevant matters. Collaboration with the CEO to identify and capitalize on new business opportunities, ensuring alignment with strategic goals. Perform ad-hoc duties assigned by management. Qualifications Bachelor’s degree or above in Finance, Economics or other business-related disciplines. Current holder of SFC Responsible Officer license with unconditional status for Type 9 regulated activities is a MUST. Minimum 5 years' relevant experience in asset management and over 3 years experience as a Responsible Officer (Type 1 & 9) in the securities industry will be an advantage. Strong knowledge in different types of private funds, listed equities, OTC products and private equities is a plus. In-depth knowledge of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and relevant codes of conduct. Excellent communication and stakeholder management skills, with the ability to effectively liaise with regulators, auditors and internal teams. Proficiency in both written and spoken English, Cantonese and Mandarin. We offer an attractive remuneration package to the right candidate. Interested applicants, please provide detailed resume stating present & expected salary and date of availability. To apply for this position, please click the “APPLY NOW”. All applications will be treated in the strict confidence and personal data collected will be used for recruitment purposes only. #J-18808-Ljbffr
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RESPONSIBLE OFFICER
1 day ago
Hong Kong Island, Hong Kong SAR China HK Montage Full timeWith the expansion of the are of investment, a Hong Kong listed company engaged in property development and investing in ventures related to its core businesses and associated industries is looking for a ResponsibleOfficer (Type 4 & Type 9): Responsibilities Act as Responsible Officer to supervise SFC Type 4 and9 regulated activities Provide research support...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China ZHAOBANGJI LIFE Full timeResponsibilities Oversee Type 9 regulated activities (asset management) to ensure compliance with Hong Kong Securities and Futures Commission (SFC) regulations Manage daily operations, including trading, settlement, risk management, and client services, ensuring adherence to regulatory standards Perform regular AML and KYC checking of current and potential...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China HIGGS FINTECH LIMITED Full timeAbout the role We are seeking an SFC licensed representative who is qualified to act as a Responsible Officer (RO) to conduct Type 1, 4 and 9 regulated activities. The role entails assisting with the Type 1 license application, ensuring all business activities strictly adhere to SFC regulations, and upholding the highest ethical standards. We offer a...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China Wisdom Pro Holdings Limited Full timeResponsible Officer (SFC Type 1, 4 / Type 4, 9) We are a financial organization in the heart of Central, Hong Kong, and planning to open a new licensed company to carry out SFC Type 1, 4 and 9 regulated activities. You will be the person responsible to establish the new licensed company, overseeing and ensuring that all business activities comply with SFC...
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Hong Kong Island, Hong Kong SAR China spl Full timeResponsible Officer Type 9 – private credit fund Regulatory leadership: Serve as the SFC-approved Responsible Officer (Type 9), with direct accountability for supervised business lines and readiness to engage with the SFC as required. Portfolio management: Oversee private credit strategies (origination, underwriting, monitoring), integrating risk...
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Hong Kong Island, Hong Kong SAR China 英國窩 UK Home Square Full timeResponsible Officer Type 9 – private credit fund Regulatory leadership: Serve as the SFC-approved Responsible Officer (Type 9), with direct accountability for supervised business lines and readiness to engage with the SFC as required. Portfolio management: Oversee private credit strategies (origination, underwriting, monitoring), integrating risk...
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Hong Kong Island, Hong Kong SAR China Sirius Corporation Full timeResponsible Officer Type 9 – private credit fund Responsibilities: Regulatory leadership: Serve as the SFC-approved Responsible Officer (Type 9), with direct accountability for supervised business lines and readiness to engage with the SFC as required. Portfolio management: Oversee private credit strategies (origination, underwriting, monitoring),...
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Responsible Officer
1 day ago
Hong Kong Island, Hong Kong SAR China QMIS Financial Group Limited Full timeResponsibilities Act as sole Responsible Office for Types 1,4 & 9 regulated activities with management responsibilities and duties to supervise the overall regulated businesses of the Company Oversee and manage the overall operations of securities brokerage (i.e. local & overseas), investment advisory and investment management of the Company from time to...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China Aptitude Connect Limited Full timeOur client is a newly incorporated company aiming to apply for an SFC license to conduct Type 4 and Type 9 regulated activities in Hong Kong (not holding client assets, PI only). They plan to manage private fund investing in tokenized products. Currently, they are seeking 1 Responsible Officer to join their team. Candidates with experience in asset...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China QMIS Capital Management Limited Full timeResponsible Officer for Licensed Corporation (Types 1, 4 and 9) VSFG Asset Management Limited Job Responsibilities Serve as the Responsible Officer for the Company’s Type 1, 4 & 9 regulated activities, with the management responsibilities and duties to supervise and/or operate the SFC’s granted regulated activities businesses ; Perform daily operation...
