Licensed (RO) for Asset Management & Advising on securities /Securities

A leading financial services company in Hong Kong is seeking a highly qualified Licensed Responsible Officer (RO) to oversee securities trading, compliance, and investment operations. The ideal candidate will have dual SFC Type 1, Type 4, and Type 9 licenses, a strong compliance background, and a deep understanding of Hong Kong’s regulatory landscape....

Serve 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...

Sponsor Principal RO (Chinese state owned securities) Act as a Responsible Officer, ensuring robust oversight of SFC-regulated activities in compliance with regulatory standards Implement the firm's investment banking strategies, maintaining strict adherence to internal policies and procedures Supervise the execution of corporate finance transactions...

A financial services firm in Hong Kong seeks a Responsible Officer (RO) to oversee SFC Type 4 and 9 regulated activities. The role involves securing licenses, establishing compliance processes, and advising management on regulations. Ideal candidates will have at least 5 years of Asset Management experience, a bachelor's degree in finance or business, and...

Responsibilities Familiar with Type 1 license business, ensuring company operations comply with Hong Kong Securities and Futures Commission (SFC) regulations, internal policies, and industry standards. Experienced in right issue and share placement in his/her current or previous job duties Supervise, manage, and ensure compliance with all applicable laws,...

Sponsor Principal RO (Chinese state owned securities) 4 days ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. This range is provided by Links International. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range Direct message the job poster...

Takeovers Code RO (Chinese state owned securities ) Responsible for execution of primarily capital markets and advisory transactions, including merger and acquisitions, , follow-on offerings, convertible bonds and Takeovers Code related transactions and capital raising exercises Participate and contribute to the strategic planning for various business units...

Add expected salary to your profile for insights We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries, your availability to Human Resources Department. All personal data collected will be used for recruitment purpose only and will be kept...

Responsibilities : Assist to supervise licensing related works and offer advice on licensing issues Provide compliance advice to the different business units in relation to securities brokerage and wealth management business Review and advise on legal and compliance contracts and documentation Handle and implement compliance requests with internal...

DL 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...