SFC RO

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 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...

• 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 (RO) – Type1,4,9 with virtual asset experience 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 driving the growth of our...

Licensed Responsible Officer (RO) for Securities We are seeking a highly qualified Licensed Responsible Officer (RO) with dual Hong Kong Securities and Futures Commission (SFC) Type 1 (Securities Trading) licenses to oversee our securities and equity investment operations. The ideal candidate will possess in-depth knowledge of Hong Kong’s regulatory...

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...

Responsible Officer (SFC) Assist SFC license application in preparing and setting up process, operations and infrastructure of the firm. Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm. Manage daily operations to ensure full regulatory compliance. Comply with all applicable laws, rules...

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...

Takeovers Code RO (Chinese state owned securities ) Responsible for execution of primarily capital markets and advisory transactions, including merger and acquisitions, , follow‑on offerings, convertible bonds and Takeovers Code related transactions and capital raising exercises Participate and contribute to the strategic planning for various business...

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...