Senior Responsible Officer – Securities Licensing

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...

A reputable financial institution in Hong Kong seeks a Responsible Officer for Type 1 regulated activities. This mid-senior level position combines regulatory compliance oversight with operational management in securities and virtual asset dealings. Candidates must have a minimum of 5-8 years experience in securities brokerage, be currently licensed as a...

A digital asset service provider in Hong Kong is seeking a Responsible Officer to oversee licensing processes and ensure compliance with regulatory standards. The ideal candidate will hold SFC Type 1 and 4 licences, have over 10 years of experience in financial services, and possess strong analytical and communication skills. This position offers a...

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...

Responsible Officer for Licensed Corporation (Types 1, 4 and 9) Key Responsibilities 1. As Responsible Officer and Manager-in-Charge of Key Business Act as Responsible Officer of the Company for Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities; Assume full management and supervisory...

A financial services firm in Hong Kong is seeking a Responsible Officer holding SFC licenses for Types 1, 4, and 9 to manage operations in securities brokerage and investment management. The ideal candidate must have relevant operational and management experience in a Brokerage and Asset Management Firm, excellent knowledge of financial markets, and fluency...

A financial services firm in Hong Kong seeks a Licensed Responsible Officer (RO) for Securities to oversee securities trading and ensure compliance with regulations. The ideal candidate will have SFC Type 1 licenses, expertise in the securities market, and strong leadership skills. You will be responsible for supervising trading activities, preparing...

Company Overview Eddid Securities and Futures Limited (Eddid Securities and Futures) is a core member of the Eddid Financial Group. The company was incorporated in Hong Kong in 2015 and operates as a leading new first‑line internet licensed brokerage firm. It holds regulated activity licenses (types 1, 2, 3, 4, 5, 6, 9) issued by the Hong Kong Securities...

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,...

Add expected salary to your profile for insights Recruiting Entity: RA149 Licensed Corporation Company Background The Company is newly established with an ambitious business plan that involves securing SFC licenses for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities, with relevant virtual...