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Responsible Officer

Job Title: Responsible Officer
Contract Type: part-time / full time
Location: Admiralty
Salary: To be discussed and depending on experience and availability
Start Date: as soon as possible
Duration: permanent
REF: #A736
Contact Name: Marie
Contact Email:
Job Published: over 2 years ago

Job Description

An Investment corporation licensed under the SFC to carry on Dealing in Securities (Type 1), Advising in Securities (Type 4) and Asset Management (Type 9) is currently looking for an Responsible Officer (Type 9)

Their team provides a financial investment platform for investors in Hong Kong, China and other Asian markets.


  • Act as Responsible Officer to supervise SFC Type 9 regulated activities  

  • Supervise and manage daily securities brokerage operations for local markets, including the account opening process, account maintenance and customer services

  • Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management

  • Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures

  • Perform other duties as assigned

flexibility: full time / part-time 
langiuages: English / Mandarin is a plus