SFC-Licensed Responsible Officer

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 (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 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...

A consulting firm in Hong Kong is seeking a Responsible Officer (SFC) to assist with SFC license applications and oversee compliance with regulations. The ideal candidate will have a minimum of 5 years of experience in SFC licensed firms and hold a relevant Responsible Officer license. Key responsibilities include managing daily operations and acting as the...

About Client: Our client is a well-established and rapidly growing financial services group with a significant focus on alternative investments. We are dedicated to excellence, innovation, and maintaining the highest standards of regulatory compliance and client service. As part of our strategic expansion in the Asia‑Pacific region, we are seeking a highly...

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...

Founded in 2015, ZMF is the financial flagship of Hand Yu Group, a comprehensive enterprise in Hong Kong. The company's core positioning is professional investment and financing. Among its associated entities, ZMF is a licensed institution of the Hong Kong Securities and Futures Commission (holding Type 1, 4, and 9 licenses). ZMF’s Independent Portfolio...

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...

Responsibilities Oversee Type 9 regulated activities (asset management) to ensure compliance with Hong Kong Securities and Futures Commission (SFC) regulations Manage daily operations, including trading, settlement, risk management, and client services, ensuring adherence to regulatory standards Perform regular AML and KYC checking of current and potential...

A financial institution in Hong Kong is seeking a Responsible Officer to lead the application process for SFC Type 1 licenses. The ideal candidate must have a minimum of 5 years' experience in securities and asset management and be currently accredited by SFC. Responsibilities include preparing documentation for compliance, developing internal controls, and...