Type 4 & 9 Responsible Officer/Investment Manager/Trader
7 days ago
Type 4 & 9 Responsible Officer/Investment Manager/Trader Hold SFC Type 4 (advising on securities) and Type 9 (asset management) licences and meet the qualifications for Responsible Officer; oversee all Type 4 and Type 9 regulated activities to ensure full compliance with SFC regulations and requirements. Responsibilities Monitor regulatory changes, maintain compliance documentation, and provide professional compliance advice to management. Conduct internal compliance reviews, including KYC, AML, trade monitoring, and risk management. Represent the company in communications with regulatory authorities and oversee internal control processes. Manage middle and back office operations and settlement functions, including financial reporting, audit coordination, and clearing/settlement processes. Develop and implement related policies to enhance operational efficiency. Assist in designing fund structures, drafting offering documents, and handling fund registration and product filings. Oversee investment decisions, portfolio management, and fund product development. Conduct market research, asset allocation, performance analysis, and risk assessment. Collaborate with the investment committee and senior management on business development, marketing planning, and project coordination. Execute trades in securities, bonds, and other financial products; monitor market movements in real time, manage trading risks and positions. Optimize trading processes to ensure efficient execution of portfolio instructions; assist with trade monitoring, settlement coordination, and related reporting. Qualifications Bachelor’s degree or above in Finance, Accounting, Business Administration, Economics, Law, or related disciplines. For Responsible Officer: at least 3 years in the past 6 years as SFC Type 4 & 9 Responsible Officer, with practical fund management experience. For Investment Manager: minimum 5 years in asset management or investment. For Trader: minimum 3 years in trading. Solid knowledge of Hong Kong and global capital markets, SFC regulatory framework, financial products, asset management operations, middle/back office functions, risk controls, portfolio construction, and performance measurement. Prior experience with SFC Type 4/9 preferred; fund management background is an advantage. Strong analytical, research, and market sensitivity skills; robust risk awareness and ability to make quick decisions under pressure. Excellent interpersonal, communication, independent working, and teamwork abilities. Fluent in English and Chinese (Cantonese and Mandarin), both spoken and written. All positions require at least 3 years of relevant experience from banking or financial institutions. Company Overview Youxfort Family Office is a joint family office brand under Youxfort Holdings Group, headquartered in Hong Kong. We hold licences such as Type 4 (BVG108), Type 9 (BVG108), real estate agency (C‑ ), and trust or company services (TC ). Qualified and interested candidates please send your resume with present and expected salaries and availability to HR Department via email. All information collected will be treated with strict confidentiality and will be used for recruitment purposes only. #J-18808-Ljbffr
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SFC Type 4/9 RO • Investment Manager
7 days ago
Hong Kong Island, Hong Kong SAR China Youxfort Holdings Group Limited Full timeA financial services group in Hong Kong seeks Type 4 & 9 Responsible Officer/Investment Manager/Trader. The ideal candidate will hold relevant SFC licences and ensure compliance with regulations. Responsibilities include managing investment decisions and internal compliance processes, with at least 3-5 years of experience required. Fluency in English and...
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Responsible Officer
1 week ago
Hong Kong Island, Hong Kong SAR China Seeds Talent Solution Limited Full timeThe company is an Asset Management firm. They are dedicated to building a new generation of intelligent financial trading platform and invite elite talent with financial insight to join their team as a Responsible officer (RO) to oversee SFC Type 4 and 9 regulated activities. Responsibilities Act as RO for Types 4 and 9; successfully secured new SFC licenses...
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Responsible Officer
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Hong Kong Island, Hong Kong SAR China SICHUAN DEVELOPMENT INTERNATIONAL CAPITAL OPERATION COMPANY LIMITED Full timeRole as Responsible Officer: Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Type 1/4/9 License Application: Assist the company in the application process for the license. Compliance Oversight: Ensure full compliance with all applicable SFC rules and...
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Responsible Officer
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Hong Kong Island, Hong Kong SAR China The Core Securities Company Limited Full timeResponsibilities Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities Must acquire new clients and assets independently and build a successful sales team Follow company direction and service existing clients Traveling to Mainland China is required Formulate, review, and update the operations procedures Participate in investment products...
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Responsible Officer
7 days ago
Hong Kong Island, Hong Kong SAR China SICHUAN DEVELOPMENT INTERNATIONAL CAPITAL OPERATION COMPANY LIMITED Full timeResponsible Officer (Type 1, 4, 9) Junior Position Role as Responsible Officer: Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Type 1/4/9 License Application: Assist the company in the application process for the license. Compliance Oversight: Ensure full...
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Responsible Officer-Type 9
1 week ago
Hong Kong Island, Hong Kong SAR China SearchAsia Consulting Pte Ltd Full timePosition Summary We seek an SFC-approved Responsible Officer (RO) for Type 9 activity to lead our Traditional and Virtual Asset Portfolio Management. This role requires asset management expertise and regulatory knowledge to ensure compliance while driving investment strategy and performance. Key Responsibilities Regulatory Leadership & Compliance Act as the...
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Portfolio Manager and Responsible Officer
1 week ago
Hong Kong Island, Hong Kong SAR China Shandong Gold Financial Holdings Group (Hongkong) Co., Limited Full timePortfolio Manager and Responsible Officer (Type 9) Act as a Responsible Officer (RO) with the SFC for Type 9 regulated activities and ensure compliance with all applicable laws, rules, and regulations; Develop and implement fixed income investment strategies aligned with the company’s overall strategy; Conduct investment research for bond investments;...
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Responsible Officer
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Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full timeResponsible Officer (Type 9, Virtual Assets) Company Description: A leading and internationally-established financial services firm specializing in asset management and technology-driven investment solutions for a global clientele. Nature: Permanent Job Title: Responsible Officer (Type 9, Virtual Assets) Responsibilities Oversee and manage all Securities and...
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SFC Responsible Officer（Type 1,4
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Hong Kong Island, Hong Kong SAR China HIGGS FINTECH LIMITED Full timeAbout the role We are seeking an SFC licensed representative who is qualified to act as a Responsible Officer (RO) to conduct Type 1, 4 and 9 regulated activities. The role entails assisting with the license application, ensuring all business activities strictly adhere to SFC regulations, and upholding the highest ethical standards. We accepts full-time...
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Portfolio Manager
3 hours ago
hong kong, Hong Kong SAR China 英國窩 UK Home Square Full timeResponsibilities Regulatory leadership: Serve as the unconditional Responsible Officer (Type 9), with direct accountability for supervised business lines and readiness to engage with the SFC as required. Portfolio management: Oversee private credit strategies (origination, underwriting, monitoring), integrating risk management and performance oversight...
