Responsible Officer（RO）— SFC Type 1 / 4 / 9

Act as the company's RO for SFC Type 1 (securities trading) & Type 4 (providing advice on securities) & Type 9 (asset management), ensuring that the holding business complies with relevant regulations and risks are controlled.

Job Requirements

• Within the past 6 years, with at least 3 years of SFC license practical experience (1, 4, and 9 categories), those with RO appointment or who have already met the RO conditions are preferred; those who need to apply for a license are required to cooperate.

• Hold practical experience in client asset management/supervision (Client Assets).

• Familiarity with Hong Kong's relevant laws and guidelines (such as ethical standards, client asset rules, fund manager ethics, AML/CFT, personal data/data protection).

• Fluent in Mandarin, good Chinese and English reading and writing abilities.

• High standard of professional ethics, risk sensitivity, cross-departmental communication and project promotion ability.

• Bachelor's degree or above, finance/ accounting/ law/ risk control and other professional qualifications are preferred.

• Trust/escrow agency, asset management company, RO or core compliance position with brokerage background.

• Private equity/family office/cross-border structures, QDII/QFII, foreign exchange and derivatives compliance experience.

• Internal audit, external audit or large consulting/law firm compliance project experience.

Salary and benefits

• Monthly salary HKD 60,000 or above, with a competitive bonus system.

• Medical insurance, statutory annual leave and extra holidays, professional training/relicensing assistance.

• Stable platform and clear promotion path.

Compliance statement

Applicants must meet the SFC's "Fit and Proper" requirements, with no major disciplinary sanctions or improper conduct records in the past.

Pre-employment may require background checks and character recommendations, academic qualifications/license verification.