Responsible Officer
1 week ago
Responsible Officer - Type 9 (Part-time) - FI (Public Funds & KIP) Your next platform Our client is a well-established and reputable Financial Services firm (Online Trading – Futures, Securities and etc) Your scope Regulatory Leadership: Lead and manage the Type 9 license uplift process to meet all SFC requirements for public fund issuance. Product Authorization: Drive product authorization processes and serve as the primary liaison with the SFC for all necessary approvals. Investment Strategy: Formulate comprehensive investment policies and strategies, monitor portfolio performance, and oversee asset allocation. Fund Management: Act as one of the Key Investment Personnel (KIPs) for the future launch and ongoing management of public funds. Product Development & Client Relations: Participate actively in new product development and prepare compelling investment proposals for prospective clients. Compliance: Ensure all activities strictly adhere to SFC regulations and internal compliance standards. Your Qualifications Current SFC Type 9 RO Qualification: You must currently hold active SFC Type 9 Responsible Officer status. Public Fund Management Expertise: Proven, hands‑on experience in public fund management is essential. KIP Experience: Current or prior experience as Key Investment Personnel (KIP) is required. Irrelevant applications will not be considered. Education: A university degree in Finance, Economics, Business Administration, or a related discipline. Experience: Proven experience managing HK and USA equities and/or fixed income products is strongly preferred. Language Skills: Full professional proficiency in both English and Mandarin (written and spoken) is required to manage regulatory correspondence and client relations across the region. Attributes: Strong leadership skills, meticulous attention to detail, proactive problem‑solving abilities, and excellent communication skills. Your next step Click ‘APPLY’ to start your next career journey. Your application will include the following questions: Which of the following statements best describes your right to work in Hong Kong? What's your expected monthly basic salary? How many years' experience do you have as a Responsible Officer? How many years' experience do you have with investment fund management? How would you rate your Mandarin language skills? How many years of asset management experience do you have? #J-18808-Ljbffr
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Responsible Officer
5 days ago
Hong Kong Island, Hong Kong SAR China Raising International Securities Ltd Full timeResponsibilities Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Ensure full compliance with all applicable SFC rules and regulations. Lead the development, implementation, and regular enhancement of internal compliance policies and procedures. Oversee and...
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Responsible Officer
3 days ago
hong kong, Hong Kong SAR China Wise Win Asset Management Limited Full timeResponsible Officer (Type 1, 4, 9) The Core Securities Company Limited – Central, Central and Western District, Hong Kong Key Responsibilities Supervise the investment advisory business of the Company. Provide investment advisory services to professional investors on securities through various products. Conduct asset management‑regulated activities....
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Insurance Responsible Officer
6 days ago
Hong Kong Island, Hong Kong SAR China Anderson Wealth Management Consultant Limited Full timeResponsibilities Support the application and renewal process for Insurance Brokerage Licenses under the Hong Kong Insurance Authority(IA). Manage daily customer inquiries related to general insurance products, oversee policy administration, and ensure effective insurance program delivery. Ensure compliance with all regulatory and RO obligations, oversee and...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China MERIT ASSET MANAGEMENT LIMITED Full timeServe as the Responsible Officer (RO) for Hong Kong Securities and Futures Commission (SFC) regulated activities of Type 1, Type 4, and Type 9, fully overseeing the core work of compliance management, operational supervision, and risk control for relevant businesses; Supervise all business activities of the company to ensure compliance with relevant Hong...
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Responsible Officer Type 6
2 weeks ago
Hong Kong Island, Hong Kong SAR China Harbridge Partners Limited Full timeRoles & Responsibilities In-depth knowledge and experience of mergers and acquisitions, eligible to advise on Codes on Takeovers-related matters in a sole capacity (i.e. Takeovers Code Responsible Officer). Lead and execute syndication work for mergers and acquisitions, follow-on offerings, convertible bonds, and private placements etc; develop and execute...
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Responsible Officer
6 days ago
Hong Kong Island, Hong Kong SAR China JH Partners (Asia) Company Limited Full timeOur client, an SFC‑licensed financial institution, is seeking a Responsible Officer (Type 1 & Type 2) to support its expansion. Key Responsibilities Manage the full account opening and approval workflow end‑to‑end, ensuring all KYC/AML, documentation, and suitability requirements are met without dedicated support staff. Assist in onboarding and...
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Responsible Officers
2 weeks ago
Hong Kong Island, Hong Kong SAR China JASPER CAPITAL HONG KONG LIMITED Full timeResponsibilities Lead the application for the company's HK compliance license. Collaborate with internal and external teams to interpret regulatory policies and formulate multi-stage license application and upgrade strategies. Design and implement a compliance framework that meets SFC requirements, regularly review the compliance of the company's business,...
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SFC Responsible Officer
1 week ago
Hong Kong Island, Hong Kong SAR China Seazen Resources Capital Group Limited Full timeSFC Responsible Officer (RO) – Type1,4,9 Seazen Resources Capital Group Limited is seeking an experienced and hands‑on Responsible Officer (Type 1&4&9) to join our team. In this full‑time role, you will play a crucial part in ensuring the firm's compliance with regulatory requirements and drive the growth of our business. Key Responsibilities Lead and...
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Responsible Officer
3 days ago
Hong Kong Island, Hong Kong SAR China DL Securities (HK) Limited Full timeDL Securities (HK) Limited, a Hong Kong SFC‑licensed company, is seeking an experienced Responsible Officer for a full‑time role. The position primarily involves overseeing the company’s Type 1 and Type 4 regulated activities, ensuring compliance with relevant regulatory requirements, managing risks, and maintaining the highest standards of...
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Responsible Officer
2 weeks ago
Hong Kong Island, Hong Kong SAR China Robert Walters (HK) Ltd Full timeOur client, a leading financial institution, is looking for a RO (Type 1,2) to assist with their expansion. Key Responsibilities Act as the Responsible Officer for Type 1 and Type 2 regulated activities under the SFO. Ensure that all business operations are in compliance with the relevant regulations. Provide guidance and support to staff on compliance...
