Responsible officer (SFC Type 1 or 4, 9)

Key Responsibilities

• Act as one of the company’s Responsible Officers for SFC regulated activities
• Assist the Compliance Consultant to apply new SFC license
• Oversee daily operations including client onboarding, KYC/AML, trading, and settlement processes
• Provide guidance and training to team members on compliance and regulatory matters
• Work closely with the investment team
• Full time or Flexible working hour

Ideal Candidate Profile

• Min 5+ years of relevant experience (e.g. securities firm)
• Current RO (sole or non-sole) or qualified investment representative
• Pass LE papers
• Strong knowledge of SFC regulations, codes, and guidelines
• Good investment knowledge
• Excellent communication skills in English and Chinese (Cantonese and Mandarin)

All applications will be treated in strict confidence. Only shortlisted candidates will be contacted.

Main responsibilities

Serve as one of the responsible persons for the company's certified Securities Regulatory Commission supervision activities Assist compliance consultants in applying for new Securities Regulatory Commission licenses Supervise daily operations, including customer guidance, understanding your customers/cross-border money laundering (KYC/AML), trading and settlement processes Provide compliance and regulatory guidance and training to team members Collaborate closely with the investment team Full-time or flexible work schedule

Ideal candidate requirements

At least 5 years of relevant experience (e.g., securities company experience) Currently serving as Chief Investment Officer (individual or non-individual) or qualified investment representative Passing the Legal Representative Examination (LE) Familiar with Securities Regulatory Commission regulations, rules and guidelines Have good investment knowledge Excellent English and Chinese (Cantonese and Mandarin) communication skills All applications will be kept strictly confidential.