SFC RO

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...

A leading financial services firm in Hong Kong is seeking a Responsible Officer to ensure compliance with SFC regulations and provide guidance on effective compliance policies. The ideal candidate will hold current SFC Type 2 RO status and possess at least 5 years of relevant experience in the financial sector. Fluency in English and Cantonese or Mandarin is...

Going International Asset Management Limited View all jobs Act as a Responsible Officer with the SFC for Type 9 regulated activities. Overseeing the firm's licensed activities and ensuring compliance with SFC regulations Providing strategic guidance and oversight on all regulatory and compliance matters Reviewing and approving all client-facing materials and...

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...

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...

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 &...

Head of Fundraising - Private Credit Fund My client is one leading Chinese Financial Institution and now is looking for one Senior Fundraising role for their private credit fund. Key Responsibilities Design and structure private credit funds (Cayman, LPF, SPVs, etc.). Lead fundraising efforts with institutional and high-net-worth investors. Develop investor...

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...

Investment Director Location: Admiralty, Central and Western District, HK Responsibilities Strong leadership skills with ability to initiate, drive and manage changes Act as a member of the investment committee and make substantive contribution to investment ideas and direction Ability to communicate with all stakeholders including investors, fellow board...

Insurance Brokerage Compliance Manager (40k - 65k) Location: Hong Kong (TST, 5–10 mins walk from MTR) Type: Permanent, Full-time About the Company A well-established, Greater China-backed financial group with full Hong Kong licenses in insurance brokerage, asset management, and family trust services. Fast-growing, stable platform with strong group...