Responsible Officer
5 days ago
Responsible Officer (RO) Type 1, Type 4 and Type 9 Act as the responsible officer for the company's Type 1, Type 4 and Type 9 regulated activities, and perform management and supervisory duties; Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines; Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks; Formulate, review and update the company's operating manual to improve compliance procedures; Supervise the operation of existing funds and the establishment of new investment projects; Strengthen relationships with existing clients and lead the development of client base and operation; Handle any other ad-hoc duties as required by the Board. Requirements Must be a qualified Responsible Officer (RO) in compliance with SFC regulations and hold SFC licenses 1, 4, and 9. Holder of Bachelor degree or above in Finance, Economics, Finance or related discipline(s). Minimum 5 years of relevant experience in the financial services industry, with in-depth knowledge of SFC regulations. Strong self-motivation, multitasking abilities, ability to work under pressure, along with strong analytical, leadership, presentation and interpersonal skills. Proficiency in both written and spoken English, Cantonese and Mandarin. Candidates with securities client resources and experience in virtual asset trading will be given priority. #J-18808-Ljbffr
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Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China Sino Financial Asset Management Limited Full timeExperience in asset management company or securities firm Implement trade execution, fund operation & portfolio management and risk monitoring Responsibilities Act as the Responsible Officer (RO) authorized by the Hong Kong Securities and Futures Commission (SFC), with direct responsibility for overseeing Type 4 and 9 regulated activities. Manage daily...
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Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China CO FINANCIAL SERVICES LIMITED Full timeI. Company Background The Company is currently applying for a SFC Type 2 license (Dealing in Futures Contracts) in order to provide a one-stop solution with spectrum of brokerage and asset management services. II. Key Responsibilities Assist with application for licenses in Type 2 regulated activities. Ensure daily business operations are in compliance with...
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Responsible Officer
3 days ago
Kowloon, Hong Kong SAR China Bright Moon Capital Limited Full timeResponsibilities Act as a Responsible Officer (RO) with the SFC for Type 2. Act as the OMO MIC of core functions and as a Director of the Company. Oversee and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and relevant guidelines. Provide guidance and leadership in the development, implementation, and...
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Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China Sino Financial Asset Management Limited Full timeA prominent asset management firm in Hong Kong seeks a Responsible Officer to oversee trading, risk management, and compliance with regulatory standards. The ideal candidate will have at least 5 years of management experience in a securities firm, hold an SFC license, and possess strong language skills in English, Cantonese, and Mandarin. This role offers...
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Insurance Brokerage Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China Prestige Wealth Group Limited Full timeHandle license applications and renewals with the Insurance Authority (IA). Ensure brokerage operations comply with applicable laws and regulations. Develop and enforce risk management and compliance policies. Collaborate with departments to ensure seamless business operations. Identify and pursue business opportunities, including marketing initiatives and...
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Responsible Officer
3 days ago
Kowloon, Hong Kong SAR China AEO FINANCIAL SERVICES LIMITED Full timeResponsible Officer (RO) - Insurance Brokerage License Application and Renewal: Handle the end-to-end process of license applications and renewals with the Insurance Authority (IA). Daily Operations Management: Manage the daily backend operations of the insurance brokerage, ensuring compliance with regulations and company policies. Professional Guidance:...
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Senior Responsible Officer – Futures
5 days ago
Kowloon, Hong Kong SAR China CO FINANCIAL SERVICES LIMITED Full timeA financial services company based in Hong Kong is looking for a Responsible Officer with an SFC Type 2 license to lead compliance efforts and manage electronic trading systems. Candidates should have at least 5 years of industry experience, a strong understanding of regulatory requirements, and the ability to make independent decisions. The position offers...
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Kowloon, Hong Kong SAR China HTF Securities Limited Full timeA leading financial services firm in Hong Kong is seeking a Responsible Officer (RO Type 9) for virtual asset management. The role involves overseeing operations, ensuring compliance with regulations, and developing investment strategies. Candidates should have at least 3 years of experience in the field and hold a relevant license. A supportive work...
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Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China HTF Securities Limited Full timeResponsible Officer (RO Type 9) - Virtual Asset We are seeking a highly skilled and experienced Responsible Officer (Type 9 - Virtual Asset) to join our dynamic team at HTF Securities Limited in Tsim Sha Tsui. In this full‑time role, you will be responsible for overseeing and managing our virtual asset operations, ensuring compliance with all relevant...
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Responsible Officer
5 days ago
Kowloon, Hong Kong SAR China Pulun International Securities Limited Full time香港證監會持牌證券公司普倫國際證券有限公司及普倫國際資產管理有限公司現誠聘一名經驗豐富的負責人員加入到我們的團隊。主要負責監理公司第1、4及9類受規管活動，確保符合相關法規要求，管理風險，並維持高度的誠信與專業標準。 Main Responsibilities 主要职责：...
