Responsible Officer - SFC Type (1, 2, 4, 9)

ref. Responsible Officer (Type 1, 2, 4, 9)


Responsible Officer (Type 1, 2, 4, 9)




  • Act as a Responsible Officer with management duties to supervise SFC Type 1, 2, 4, 9 activities
  • Manage daily operations for local markets and ensure full regulatory compliance
  • Oversee the compliance functions to ensure all business activities comply with applicable laws, rules and regulations, company policies and guideline
  • Work closely with senior management on investment functions
  • Advise on risk management of the operations and deal progress
  • Implement business development, planning and investment strategic
  • Liaise with SFC, HKEX and other regulatory bodies for regulated activities related matters
  • Assist in ad-hoc assignments upon required



  • Degree holder or above in Finance, Economic, Banking or related discipline
  • Current holder of SFC Responsible officer license for Type 1, 2, 4, 9 regulated activities
  • Minimum 5 years or above experiences in SFC licensed firms with solid experience and knowledge in middle and back office operations, risk controls and investment process
  • Sound knowledge of regulations and guidelines of relevant regulatory authorities
  • Good command of both written and spoken in English, Cantonese and Mandarin
  • Strong communication, management and analytical skills
  • Independent, well-organized, detail oriented and able to work under tight time schedule


Interested parties, please send your full resume by clicking