Responsible Officer (SFC Type 4, 9)

We are a recently incorporated Hong Kong company that already holds SFC Type 4 (advising on securities) and Type 9 (asset management) licences and is now applying for a Type 1 (dealing in securities) licence plus virtual-asset (VA) authorisation.
Employment Type: Part-time or full-time

We offer flexibility in the employment arrangement, which may be structured according to the candidate’s qualifications, suitability, and the scope of responsibilities involved.

KEY RESPONSIBILITIES

• Act as the SFC-approved Responsible Officer for Type 4 and Type 9 regulated activities and lead the structuring and launch of new investment products and funds.

• Oversee the firm’s daily operations to ensure continuous compliance with all applicable laws, rules and regulations.

• Assist in formulating investment strategies and supervise proprietary and client portfolio transactions.

• May be appointed as Manager-In-Charge (MIC) of core functions and/or as a Director of the company.

• Operate trading systems proficiently to execute, settle and deliver orders efficiently.

• Draft, review and update the firm’s operations manual.

• Undertake ad-hoc projects and any other duties as assigned.

REQUIREMENTS

• Bachelor’s degree or above in Finance, Economics, Business Administration or a related discipline.

• Currently accredited by the SFC as a sole Responsible Officer and have at least three of the past six years’ experience in licensed corporations that are authorised to hold client assets.

• Solid, demonstrable experience in OTC products and fund management.

• Fluent in written and spoken Mandarin, English and Cantonese.

Interested candidates please send your CV together with current and expected salary to us，we will contact you promptly; we look forward to receiving your application.