Responsible Officer (SFC Type 9)

Job level Entry
Work exp No work experience
Education Bachelor Degree
Within Hong Kong
Employment type Permanent
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Investment & Securities
Sales / Business Development / Customer Service > Others
Published On 29/05/2019

Hong Kong



Responsible Officer (SFC Type 9)

About the Company:

Since its inception in 1993, Sun Growth Securities Limited (SGSL), developing and growing with the Hong Kong securities market, has served more than 5,000 clients accumulatively. Upholding the value of “Driving the Business with Professionalism and Putting the Client First", SGSL serves global clients and provides comprehensive professional investment advice and market analyses for its clients. It has gradually transformed itself to a diversified investment services provider in Hong Kong.


  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
  • Comply with all applicable laws, codes, rules and regulations and standard of good market practices
  • Liaise with SFC and other regulators regarding regulatory and licensing matters
  • Develop and implement strategies of discretionary asset management and/or investment fund business
  • Improve internal operations and control to ensure compliance with Company policies and SFC requirement


  • Must be a current unconditional SFC Type 9 Responsible Officer License holder
  • Degree holder in Finance or Business related disciplines
  • Familiar with the asset management business environment in Hong Kong and mainland China
  • Strong business sense and in-depth knowledge of the asset management operations
  • Good command of English and Chinese (Mandarin speaker is a must)


  • Interested parties please provide full resume with current and expected salaries together with availability by clicking Apply Now
  • All information collected will be kept for a period of 24 months and will be used for recruitment purpose only
  • We regret only shortlisted candidates will be informed