SFC Type 1 RO: Compliance

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 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 financial services firm in Hong Kong is seeking a Responsible Officer to oversee compliance with SFC regulations for Type 1 activities. The role requires at least 5 years of experience in the financial services industry and current SFC Type1 RO status. Candidates should be detail-oriented, possess strong leadership capabilities, and be fluent in English...

Responsible Officer (SFC Type 1, 4 / Type 4, 9) We are a financial organization in the heart of Central, Hong Kong, and planning to open a new licensed company to carry out SFC Type 1, 4 and 9 regulated activities. You will be the person responsible to establish the new licensed company, overseeing and ensuring that all business activities comply with SFC...

Responsible Officer - RO Type 1, 2, 4, 5, 9 Add expected salary to your profile for insights Location: Hong Kong | Industry: Financial Services | Group: Multi-national Greater China-based Investment Group Responsibilities: Serve as SFC-licensed Responsible Officer overseeing Type 1, 2, 4, 5 & 9 regulated activities. Act as key liaison with SFC to ensure full...

Responsibilities Act as a Responsible Officer with the SFC for Type 1, Type 4 (Securities) and Type 9 (Asset Management) regulated activities. Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines. Provide guidance and leadership on the development, implementation, 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,...

Our client, a Hong Kong-based security firm, is seeking a RO (SFC 1,4&9) to join their team due to recent expansion. The role will focus on a broad spectrum of markets. The RO will report directly to the board members of the Group, responsible for implementing business strategies and managing investment projects. This role must focus on distribution. Key...

• SFC Type 4&9 Responsible Officer (RO) and Director Add expected salary to your profile for insights Attractive remuneration and performance bonus Competitive fringe benefits (wedding leave, group medical and dental insurance, work-life balance) Clear career progression and senior management exposure Key Responsibilities Serve as OMO MIC and Type 4&9 RO,...

SFC Responsible Officer (Type 1 & 4 & 9) Jinluo Securities Limited, a leading financial services firm, is seeking a highly skilled SFC Responsible Officer (Type 1 & 4 & 9) to join our dynamic team in the Wan Chai District. In this full‑time role, you will play a crucial part in ensuring the firm's compliance with regulatory requirements and driving the...