Senior Responsible Officer

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...

With the expansion of the are of investment, a Hong Kong listed company engaged in property development and investing in ventures related to its core businesses and associated industries is looking for the following position: RESPONSIBLE OFFICER (TYPE 1) Responsibilities Act as Responsible Officer to supervise SFC Type 1regulated activities Supervise and...

A fast-growing alternative investment firm in Hong Kong is seeking an experienced Responsible Officer (RO) to manage SFC Type 9 regulated activities. This senior role involves overseeing fund establishment and listing, ensuring compliance, and leading portfolio management. Ideal candidates will have a minimum of 5 years in asset management, hold an SFC Type...

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...

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,...

Responsible for handling all rounded HR issues and administration duties; Handle employees’ compensation matters including work injury claims; Assist in budget planning and monitor manpower planning; Review and update company policies; Monthly payroll processing for elderly home; Occasionally visit elderly homes. Requirements 5 years or above of relevant...

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...

A Hong Kong listed company is seeking a Responsible Officer (Type 1) to supervise SFC Type 1 regulated activities. The successful candidate will manage daily securities brokerage operations, ensuring compliance with regulations. Requirements include a degree in Business Administration, Economics, or Finance, current Type 1 Responsible Officer status, and...

A property development firm in Hong Kong is seeking a Responsible Officer to supervise SFC regulated activities for Types 4 and 9. Candidates should hold a degree in Business Administration or related fields, possess at least 3 years of experience in asset management, and have sound knowledge of relevant regulations. Proficiency in English, Chinese, and...

The 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...