Senior Compliance Officer — SFC Licensing

A financial institution in Hong Kong is seeking a Responsible Officer with SFC licensing expertise to lead the application for SFC Type 1, 4, and 9 licenses. The ideal candidate will have at least 5 years of experience in securities and asset management, demonstrating strong project management and understanding of regulatory frameworks. Fluency in English...

A financial institution in Hong Kong is seeking a Responsible Officer to lead the application process for SFC Type 1 licenses. The ideal candidate must have a minimum of 5 years' experience in securities and asset management and be currently accredited by SFC. Responsibilities include preparing documentation for compliance, developing internal controls, and...

A financial services firm in Hong Kong is seeking a qualified individual to report directly to the CEO. This role involves supervising regulated activities, developing business strategies, and ensuring compliance with local regulations. Candidates must have a university degree in Banking or Finance, a minimum of 5 years in the financial industry, and possess...

A financial services firm in Hong Kong is seeking a qualified SFC Responsible Officer to oversee regulatory compliance in virtual asset management and trading. The ideal candidate will have at least 5 years of relevant experience in asset management, preferably with a current SFC license. Strong analytical, leadership, and interpersonal skills are essential,...

A consulting firm in Hong Kong is seeking a Responsible Officer (SFC) to assist with SFC license applications and oversee compliance with regulations. The ideal candidate will have a minimum of 5 years of experience in SFC licensed firms and hold a relevant Responsible Officer license. Key responsibilities include managing daily operations and acting as the...

SFC Responsible Officers (RO) (Virtual Asset Management / Trading) RO of SFC Type (1/2/3/4/5/6/7/8/9/10) Responsible Officers (RO) 1.1 Job Highlights Virtual Asset Management / Virtual Currency Trading related experience preferred Current holders of unconditional RO preferred Current Rep with enough experience considered Min 3 years industry experience Full...

SFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...

A consulting firm specializing in regulatory compliance is seeking an Associate Compliance Consultant to join their team in Hong Kong. The role involves handling SFC licensing matters, providing consultancy services, and preparing operational procedures. Candidates should have a degree in a related field and 1-2 years of experience in compliance. Proficiency...

A financial services startup in Hong Kong is seeking a qualified compliance officer to assist with regulatory licensing applications and ensure business operations meet compliance standards. Candidates should have at least 5 years of industry experience, including fund management expertise and a firm grasp of regulatory requirements. The position offers an...

About Client: Our client is a well-established and rapidly growing financial services group with a significant focus on alternative investments. We are dedicated to excellence, innovation, and maintaining the highest standards of regulatory compliance and client service. As part of our strategic expansion in the Asia‑Pacific region, we are seeking a highly...