SFC RO – Regulatory Lead

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...

Avenir Capital is a pioneering investment group dedicated to the strategic integration of traditional finance and digital assets, driving innovation to build a leading financial ecosystem and infrastructure. Through an integrated framework of Investment, Incubation, and Operations, the group focuses on digital asset management, trading and financial service...

SFC 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...

A leading consulting firm in Hong Kong is looking for an SFC-approved Responsible Officer (RO) for Type 9 activities to oversee Traditional and Virtual Asset Portfolio Management. You will ensure compliance, formulate investment strategies, and manage regulatory communications. The role demands expertise in asset management, blockchain, and virtual assets,...

A consulting firm in Hong Kong is seeking an experienced SFC Responsible Officer to manage operations. The ideal candidate will have a degree in finance or related fields, over 8 years of experience in discretionary accounts, and must hold SFC RO licenses 1, 2, and 9. The role involves organizing operations, managing trading work, and liaising with SFC....

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...

Licensed (RO) for Asset Management & Advising on securities /Securities We are seeking a highly qualified Licensed Responsible Officer (RO) with dual Hong Kong Securities and Futures Commission (SFC) Type 1 (Securities Trading), Type 4 (advising on securities), and Type 9 (Asset Management) licenses to oversee our securities and equity investment operations....

A leading real estate investment fund in Hong Kong is seeking at least two Responsible Officers (ROs) with SFC Type 9 licenses for part-time roles. One of the positions may suit a 'Sleeping RO', ideal for professionals looking for work-life balance while traveling. Responsibilities include overseeing compliance and investment operations. Candidates should...

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...

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....