Responsible Officer - Type 1, 2, 3, 4, 5, 6, 7, 9

Job level Senior
Work exp Minimum 5 Years
Education Bachelor Degree
Within Hong Kong
Employment type Full Time
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Others
Published On 31/10/2019
ref. AC

Our client is a well established financial company and currently seeking for a professional and high calibre candidate for the following position:


Responsible Officer - Type 1, 2, 3, 4, 5, 6, 7, 9 



  • Degree holder in Finance, Accounting, Economics / Business Administration or other relevant disciplines
  • Current SFC RO license holder in any two or more of Type 1, 2, 3, 4, 5, 6, 7, 9 regulated activities
  • 5 years or above relevant working experience and familiar with investment market
  • Solid understanding of office operations, risk controls and investment process
  • Good working relationship with relevant regulatory bodies
  • Excellent interpersonal, communications and problem solving skills
  • Good command of written and spoken English, Cantonese and Mandarin
  • Good network in the industry
  • Initiative, responsible, result-oriented



  • Oversee daily operation including dealing, settlement, assessment, risk management, execution and customer service
  • Comply with regulatory rules and requirements and fulfill all compliance responsibilities as required
  • Review and update internal control, operational policies and procedures
  • Good knowledge of company development and ensure all the activities have to comply with the rules and regulation
  • Prepare reports for senior management review
  • Develop and implement business development



Competitive salary package and fringe benefits are offered to the right candidate


Interested parties, please send your full resume by clicking the button “” with quoting reference no. AC and expected salary or contact us at (852) 2521-1166 for details.


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