SFC Type 1 License Lead: Compliance

A financial institution in Hong Kong is seeking a Responsible Officer with SFC licensing expertise to lead the application for SFC Type 1, 4, and 9 licenses. The ideal candidate will have at least 5 years of experience in securities and asset management, demonstrating strong project management and understanding of regulatory frameworks. Fluency in English...

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...

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...

A leading fintech company in Hong Kong is seeking an SFC licensed representative to act as a Responsible Officer for Type 1, 4, and 9 regulated activities. You will assist with license applications and ensure compliance with SFC regulations. Candidates should possess a Bachelor's degree and at least 5 years of experience in the financial services industry....

A financial services firm in Hong Kong is seeking a qualified SFC Responsible Officer to oversee regulatory compliance in virtual asset management and trading. The ideal candidate will have at least 5 years of relevant experience in asset management, preferably with a current SFC license. Strong analytical, leadership, and interpersonal skills are essential,...

Lead the application process for SFC Type 1 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 Design and establish the compliance...

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...

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...

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...

Location: Central & Western District, Hong Kong SAR Position Responsible Officer (Type 1) Responsibilities Act as the Responsible Officer (Type 1) and ensure all regulated activities conducted in Hong Kong fully comply with SFC rules, licensing conditions and internal control standards. Oversee core business activities including stablecoin payments, fund...