SFC Type 9 Responsible Officer — Reg

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...

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...

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...

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...

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...

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...

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 the Responsible Officer for SFC Type 9 regulated activities, managing daily operations to ensure full regulatory compliance with the Securities and Futures Ordinance. Register as a Director for Type 9 Company under the Companies Ordinance and Securities and Futures Ordinance. Providing expert guidance and oversight for the setup of...

Responsible Officer (SFC Type 4, 9) & Head of Operations Key Responsibilities: Develop and implement all necessary policies, procedures and internal controls required with regulatory requirements. Design and establish the compliance framework, including AML/CFT, risk management, and operational procedures. Oversee, manage, and ensure the activities are in...

• 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,...