Senior SFC Responsible Officer Type 1/4/9 Compliance

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...

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...

Responsible Officer for Licensed Corporation (Types 1, 4 and 9) VSFG Asset Management Limited Job Responsibilities Serve as the Responsible Officer for the Company’s Type 1, 4 & 9 regulated activities, with the management responsibilities and duties to supervise and/or operate the SFC’s granted regulated activities businesses ; Perform daily operation...

A financial services firm in Hong Kong is seeking a Responsible Officer for Type 1, 4, and 9 regulated activities. The role requires overseeing compliance with SFC regulations and leading the development of effective compliance policies. The ideal candidate will have at least 5 years of experience in the financial industry, strong leadership skills, and...

Our client is a newly incorporated company planning to apply for an SFC license to carry out Type 1, 4, 9 of Regulated Activities (hold client asset, PI only) in Hong Kong. Proposed business of the company include fund management, investment immigration, and OTC product distribution. They are currently seeking two Responsible Officers to join their team....

Responsibilities Act as sole Responsible Office for Types 1,4 & 9 regulated activities with management responsibilities and duties to supervise the overall regulated businesses of the Company Oversee and manage the overall operations of securities brokerage (i.e. local & overseas), investment advisory and investment management of the Company from time to...

Our client is a newly incorporated company aiming to apply for an SFC license to conduct Type 4 and Type 9 regulated activities in Hong Kong (not holding client assets, PI only). They plan to manage private fund investing in tokenized products. Currently, they are seeking 1 Responsible Officer to join their team. Candidates with experience in asset...

With the expansion of the are of investment, a Hong Kong listed company engaged in property development and investing in ventures related to its core businesses and associated industries is looking for a ResponsibleOfficer (Type 4 & Type 9): Responsibilities Act as Responsible Officer to supervise SFC Type 4 and9 regulated activities Provide research support...

Responsible Officer - SFC Type (1 / 2 / 4 / 5 / 6 / 9) Add expected salary to your profile for insights Monitor the compliance functions of the Company and implement the necessary actions to ensure the compliance of all rules and regulations Manage daily operations, review and update policies and procedures to ensure in comply with rules and regulations...

A corporate service provider in Hong Kong is seeking a Responsible Officer for Type 4 and 9 licenses. You will manage daily operations, oversee compliance with regulations, and design the compliance framework. The ideal candidate holds an SFC accreditation and possesses sound regulatory knowledge along with experience in compliance systems. Fluency in...