Responsible Officer (Type 1, 4 & 9)


  • Act as a Responsible Officer to supervise SFC Type 1, 4 & 9 regulated activities
  • Supervise daily securities operations, including local and overseas market
  • Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline
  • Work with senior management on company’s investment functions
  • Responsible for analysis and implementation of fund investment plan
  • Liaise with SFC for regulated activities related matters


  • Degree holder in Finance, Business or Banking or any related disciplines
  • Minimum 4 years management experience in securities firm  
  • SFC registered RO/Qualified Technical Representative for license 1, 4 & 9
  • Sound knowledge of SFO, SFC Code of Conduct and rules
  • Technical Representative with at least 5 years relevant experience (including 2 years of management experience) will also be considered
  • Good command of written and spoken English and Chinese and Mandarin

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department by email

Personal data collected will be treated in strict confidence and handled confidentially by authorized personnel for recruitment-related purposes within the Group. A copy of our Personal Information Collection Statement will be available upon request.