Licensed Responsible Officer

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...

A leading financial services firm in Hong Kong is seeking a Responsible Officer to oversee licensing and regulatory compliance. The ideal candidate will have at least 10 years of experience and be a current holder of Type 1 and Type 4 licences. Responsibilities include liaising with regulatory bodies, developing compliance plans, and supervising regulated...

SFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...

A digital asset service provider in Hong Kong is seeking a Responsible Officer to oversee licensing processes and ensure compliance with regulatory standards. The ideal candidate will hold SFC Type 1 and 4 licences, have over 10 years of experience in financial services, and possess strong analytical and communication skills. This position offers a...

A financial services startup in Hong Kong is seeking a qualified compliance officer to assist with regulatory licensing applications and ensure business operations meet compliance standards. Candidates should have at least 5 years of industry experience, including fund management expertise and a firm grasp of regulatory requirements. The position offers an...

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...

Responsible Officer for Licensed Corporation (Types 1, 4 and 9) Key Responsibilities 1. As Responsible Officer and Manager-in-Charge of Key Business Act as Responsible Officer of the Company for Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities; Assume full management and supervisory...

A leading digital asset firm in Hong Kong is seeking a Responsible Officer to oversee licensing and regulatory compliance. The ideal candidate will have at least 10 years of experience in financial services and hold Type 1 and 4 licences. Responsibilities include liaising with regulatory bodies and ensuring compliance with relevant regulations. This position...

Hex Trust, established in 2018, offers fully regulated institutional digital asset market services, custody, and staking to builders, investors, and service providers. Leveraging the expertise of veteran banking technologists and award‑winning financial services leaders, Hex Trust continues to innovate with its proprietary institutional‑grade platform,...

Hex Trust, established in 2018, offers fully regulated institutional digital asset market services, custody, and staking to builders, investors, and service providers. Leveraging the expertise of veteran banking technologists and award-winning financial services leaders, Hex Trust continues to innovate with its proprietary institutional-grade platform,...