We look for a fit & proper Responsible Officer who is eligible to supervise Type 1, 4 and 9 regulated activities.


Key responsibilities include:

• Supervision of relevant SFC regulated activities to ensure compliance with the Company policies, statutory rules and regulations
• Formulate, review and update the operational procedures to ensure full regulatory compliance
• Advising and implementing on Securities including provide investment advice
• Support senior management and assist in various business development
• Coordinate effectively with various teams and business partners to effectively implement business / investment decisions to ultimate goals
• Ensure daily operations in compliance with HK SFC regulations
• Help establish and strengthen internal operation flows to improve work efficiency

Job Requirements:

• Degree holder in Finance or Business related disciplines
• Minimum of 3 years management and 6 years working experience in relevant SFC regulated activities
• Good in handling compliance matters for relevant SFC regulated activities
• MUST be registered under SFC RA1, 4 & 9 type license as Responsible Officer
• Good financial market knowledge and strong compliance sense
• Team player, cheerful personality; has a strong sense of responsibility, honesty and trustworthiness, has an excellent work ethic and integrity
• Proficiency in written and spoken English and Chinese (including Putonghua)

We offer competitive remuneration packages to the right candidate. Interested parties please email your resume with CURRENT & EXPECTED SALARY & AVAILABLE DATE.