SFC Responsible Officer

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...

A financial services firm in Hong Kong is seeking a Responsible Officer to oversee regulated activities, ensure compliance with SFC regulations, and manage trading activities. The ideal candidate will have a Bachelor's degree in Finance or a related discipline, along with a minimum of 5 years of experience in the financial services industry. Proficiency in...

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...

I. Company Background The Company is currently applying for a SFC Type 2 license (Dealing in Futures Contracts) in order to provide a one-stop solution with spectrum of brokerage and asset management services. II. Key Responsibilities Assist with application for licenses in Type 2 regulated activities. Ensure daily business operations are in compliance with...

A leading financial institution in Hong Kong is seeking a Responsible Officer / Compliance Manager to oversee compliance management for SFC-regulated activities, particularly in Virtual Assets and equities. The ideal candidate must have current SFC approval as a Responsible Officer for Type 9 activities and a solid background in compliance or asset...

A prominent asset management firm in Hong Kong seeks a Responsible Officer to oversee trading, risk management, and compliance with regulatory standards. The ideal candidate will have at least 5 years of management experience in a securities firm, hold an SFC license, and possess strong language skills in English, Cantonese, and Mandarin. This role offers...

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...

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 &...

A financial services company based in Hong Kong is looking for a Responsible Officer with an SFC Type 2 license to lead compliance efforts and manage electronic trading systems. Candidates should have at least 5 years of industry experience, a strong understanding of regulatory requirements, and the ability to make independent decisions. The position offers...

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...