Senior Responsible Officer, SFC RO

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...

A financial services firm in Hong Kong seeks a Responsible Officer to oversee Type 9 regulated activities. The ideal candidate will have at least 5 years of experience in asset management and possess a current SFC Type 9 unconditional RO license. Key responsibilities include ensuring compliance with SFC regulations, providing strategic guidance, and...

Going International Asset Management Limited View all jobs Act as a Responsible Officer with the SFC for Type 9 regulated activities. Overseeing the firm's licensed activities and ensuring compliance with SFC regulations Providing strategic guidance and oversight on all regulatory and compliance matters Reviewing and approving all client-facing materials and...

Responsibilities 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...

Experience 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...

Responsible 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:...

A leading financial services firm in Hong Kong is seeking a Responsible Officer to ensure compliance with SFC regulations and provide guidance on effective compliance policies. The ideal candidate will hold current SFC Type 2 RO status and possess at least 5 years of relevant experience in the financial sector. Fluency in English and Cantonese or Mandarin is...

Responsible Officer / Compliance Manager (Type 9, Virtual Assets) (Securities) Company Description: A leading financial institution specializing in asset management, securities services, and technology-driven investment solutions for global clients. Nature: Permanent Job Title: Responsible Officer / Compliance Manager (Type 9, Virtual Assets, Equities &...

Responsible 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...

A leading insurance brokerage in Hong Kong is seeking a Responsible Officer (RO) with extensive experience in the insurance industry. The ideal candidate will manage daily operations, provide expert guidance, and ensure compliance with regulations. A bachelor's degree and an RO license are required, along with a minimum of 3-10 years of relevant experience....