Wealth Management RO Team Lead – Compliance

Add expected salary to your profile for insights Responsibilities Act as the Responsible Officer (RO) authorized by the Insurance Authority (IA), with direct responsibility for overseeing insurance regulated activities. Ensure that daily business operations comply with the regulations of IA and internal compliance requirements. Manage the daily backend...

SFC Responsible Officers (RO) (Virtual Asset Management / Trading) RO of SFC Type (1/2/3/4/5/6/7/8/9/10) Responsible Officers (RO) 1.1 Job Highlights Virtual Asset Management / Virtual Currency Trading related experience preferred Current holders of unconditional RO preferred Current Rep with enough experience considered Min 3 years industry experience Full...

Blackhorn Wealth Management is an independent asset management firm based in Hong Kong with SFC Type 4 & Type 9 licenses. Our team draws on decades of experience in private wealth and institutional investing to provide best‑class wealth solutions for our clients and their families. Our mission is simple: we provide clients with informed investment...

Responsible Officer (RO), Brokerage Department Strategic Planning and Business Development: Assist in formulating overall strategies and implementation plans for business transformation. Design and promote innovative product lines covering brokerage and wealth management services. Analyze market trends, identify opportunities, and collaborate with senior...

A leading investment firm in Hong Kong is looking for a Responsible Officer (SFC Type 1 RO) to oversee operations and ensure compliance with regulations. The ideal candidate will manage business strategy and regulatory reporting while participating in new product development. A bachelor's degree and SFC approval for Type 1 activities are required. The firm...

A leading asset management firm in Hong Kong is looking for a Wealth Management Operation Officer. This role focuses on supporting the Wealth Management business by handling operations and service requests. The ideal candidate will have a degree in a related field, strong proficiency in English and Chinese, as well as excellent interpersonal skills. A...

Job Description This role acts as a licensed Responsible Officer and supervises Type 1 and 4 activities for a wealth management platform in Hong Kong. The individual supports business development by providing market updates through coaching workshops and training, and assists SFC licensed representatives in meeting investment customers when necessary. They...

Licensed Responsible Officer (RO) for Securities We are seeking a highly qualified Licensed Responsible Officer (RO) with dual Hong Kong Securities and Futures Commission (SFC) Type 1 (Securities Trading) licenses to oversee our securities and equity investment operations. The ideal candidate will possess in-depth knowledge of Hong Kong’s regulatory...

A financial services firm in Hong Kong seeks a Licensed Responsible Officer (RO) for Securities to oversee securities trading and ensure compliance with regulations. The ideal candidate will have SFC Type 1 licenses, expertise in the securities market, and strong leadership skills. You will be responsible for supervising trading activities, preparing...

A leading insurance and wealth management firm in Hong Kong seeks a Responsible Officer to oversee insurance regulated activities and ensure compliance with regulations. The ideal candidate will have a bachelor's degree, over 5 years of experience in the insurance brokerage industry, and relevant qualifications. Exceptional analytical, communication, and...