SFC Responsible Officer Type 6 with PS license

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...

A leading Corporate Finance Company in Hong Kong is seeking a Responsible Officer. The candidate should have over 5 years of experience in Corporate Finance, hold an SFC Responsible Officer license for Type 6 RA, and be proficient in English, Chinese, and Mandarin. Responsibilities include leading financial advisory projects and ensuring compliance with...

Our client is a multi-asset class focused asset management company. Responsible Officer (Type 1 & 6) Responsibilities Act as core person to supervise SFC Type 1 & 6 regulated activities Formulate, review and update operations procedures in order ensure operational and regulatory compliance Conduct in-dept investment research and analysis, analyze portfolio...

Responsibilities Lead the application process for SFC Type 1, Type 4, and Type 9 licenses for a newly established financial institution Prepare and submit all required documentation to the SFC, ensuring complete compliance with regulatory requirements Develop and implement all necessary policies, procedures and internal controls required for license approval...

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...

Our client is an expanding listed investment firm. To cope with their expansion, they are now looking for a potential incumbent with an attractive package for the captioned opening. Responsibilities Define strategic planning to drive the business of Corporate Finance with the objective to maximize company interest and investment returns, including but not...

Responsibilities 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...

Responsible Officer - SFC Type (1 / 2 / 4 / 5 / 6 / 9) Add expected salary to your profile for insights Monitor the compliance functions of the Company and implement the necessary actions to ensure the compliance of all rules and regulations Manage daily operations, review and update policies and procedures to ensure in comply with rules and regulations...

Responsible Officer - Type 6 (Part Time) Our clients are corporate finance firms. We have multiple vacancies of Responsible Officers. Job Duties Manage the daily operations to ensure full compliance on corporate finance. Act as respective RO to supervise the respective regulated activities to ensure full compliances. Assist to develop, refine and implement...

Our 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...