Lead Regulatory Officer – SFC Type 4

A financial services company in Hong Kong is seeking a qualified Responsible Officer (Type 1, 4, 9) to ensure compliance with SFC regulations. The role involves leading the virtual asset management license application, managing compliance duties, and strengthening client relationships. Candidates should have at least 5 years of relevant experience and hold...

The company is an Asset Management firm. They are dedicated to building a new generation of intelligent financial trading platform and invite elite talent with financial insight to join their team as a Responsible officer (RO) to oversee SFC Type 4 and 9 regulated activities. Responsibilities Act as RO for Types 4 and 9; successfully secured new SFC licenses...

Role as Responsible Officer: Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Type 1/4/9 License Application: Assist the company in the application process for the license. Compliance Oversight: Ensure full compliance with all applicable SFC rules and...

Responsible Officer (Type 1, 4, 9) Junior Position Role as Responsible Officer: Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Type 1/4/9 License Application: Assist the company in the application process for the license. Compliance Oversight: Ensure full...

Responsible Officer (Type 1 & 4) – OurCrowd, Hong Kong office Full‑time | Hong Kong SAR | Salary: HK$25,000.00–HK$30,000.00 Responsibilities Act as a Responsible Officer (Types 1 & 4) under the Securities and Futures Ordinance (Cap. 571), ensuring full regulatory compliance. Supervise the company’s regulated business activities in Hong Kong and...

About the role We are seeking an SFC licensed representative who is qualified to act as a Responsible Officer (RO) to conduct Type 1, 4 and 9 regulated activities. The role entails assisting with the license application, ensuring all business activities strictly adhere to SFC regulations, and upholding the highest ethical standards. We accepts full-time...

Type 4 & 9 Responsible Officer/Investment Manager/Trader Hold SFC Type 4 (advising on securities) and Type 9 (asset management) licences and meet the qualifications for Responsible Officer; oversee all Type 4 and Type 9 regulated activities to ensure full compliance with SFC regulations and requirements. Responsibilities Monitor regulatory changes, maintain...

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...

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 financial services firm is seeking a Responsible Officer (Type 9, Virtual Assets) in Hong Kong. This permanent role involves overseeing compliance with SFC regulations for asset management activities focused on virtual assets. Ideal candidates must have current approval as a Responsible Officer from SFC and substantial experience in regulated...