Responsible Officer

Responsibilities Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Ensure full compliance with all applicable SFC rules and regulations. Lead the development, implementation, and regular enhancement of internal compliance policies and procedures. Oversee and...

Responsible Officer (Type 1, 4, 9) The Core Securities Company Limited – Central, Central and Western District, Hong Kong Key Responsibilities Supervise the investment advisory business of the Company. Provide investment advisory services to professional investors on securities through various products. Conduct asset management‑regulated activities....

Responsibilities Support the application and renewal process for Insurance Brokerage Licenses under the Hong Kong Insurance Authority(IA). Manage daily customer inquiries related to general insurance products, oversee policy administration, and ensure effective insurance program delivery. Ensure compliance with all regulatory and RO obligations, oversee and...

Serve as the Responsible Officer (RO) for Hong Kong Securities and Futures Commission (SFC) regulated activities of Type 1, Type 4, and Type 9, fully overseeing the core work of compliance management, operational supervision, and risk control for relevant businesses; Supervise all business activities of the company to ensure compliance with relevant Hong...

Roles & Responsibilities In-depth knowledge and experience of mergers and acquisitions, eligible to advise on Codes on Takeovers-related matters in a sole capacity (i.e. Takeovers Code Responsible Officer). Lead and execute syndication work for mergers and acquisitions, follow-on offerings, convertible bonds, and private placements etc; develop and execute...

Our client, an SFC‑licensed financial institution, is seeking a Responsible Officer (Type 1 & Type 2) to support its expansion. Key Responsibilities Manage the full account opening and approval workflow end‑to‑end, ensuring all KYC/AML, documentation, and suitability requirements are met without dedicated support staff. Assist in onboarding and...

Responsibilities Lead the application for the company's HK compliance license. Collaborate with internal and external teams to interpret regulatory policies and formulate multi-stage license application and upgrade strategies. Design and implement a compliance framework that meets SFC requirements, regularly review the compliance of the company's business,...

SFC Responsible Officer (RO) – Type1,4,9 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 drive the growth of our business. Key Responsibilities Lead and...

Our client, a leading financial institution, is looking for a RO (Type 1,2) to assist with their expansion. Key Responsibilities Act as the Responsible Officer for Type 1 and Type 2 regulated activities under the SFO. Ensure that all business operations are in compliance with the relevant regulations. Provide guidance and support to staff on compliance...

DL Securities (HK) Limited, a Hong Kong SFC‑licensed company, is seeking an experienced Responsible Officer for a full‑time role. The position primarily involves overseeing the company’s Type 1 and Type 4 regulated activities, ensuring compliance with relevant regulatory requirements, managing risks, and maintaining the highest standards of...