Responsible Officer (SFC Types 1&2)

Job Title: Responsible Officer (SFC Types 1&2)
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Start Date: ASAP
Reference: 8352_1554373127
Contact Name: Lucas Wu
Contact Email:
Job Published: April 04, 2019 18:18

Job Description

Our client is China-affiliated financial holding company in Hong Kong. Due to business needs, Responsible Officer is needed to join their growing team.

We are now seeking for Responsible Officer (SFC Types 1&2)


  • Oversee daily operation including dealing, settlement, assessment, risk management, execution and customer service
  • Comply with regulatory rules and requirements and fulfill all compliance responsibilities as required
  • Review and update internal control, operational policies and procedures
  • Perform and handle all spectrum of compliance duties related to all its affiliated companies (SFC Type 1(dealing in securities) & Type 2 (dealing in futures contracts)
  • Liaise with SFC, HKEX and other regulatory organizations for all compliance and licensing matters
  • To conduct internal compliance review and control, to ensure compliance policies and procedures are maintained and followed
  • Ensure operation policies are fully implemented and adhered at all times
  • Assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective and circulate to staff for compliance purpose
  • Develop business opportunities with potential clients
  • Coordinate business operations between Hong Kong office and regional offices of the Group


  • University graduate in Finance, Law or related disciplines
  • Minimum 3 years working experience in Securities/Brokerage/Futures/Asset Management compliance, with 2 years management experience
  • Sound knowledge of applicable law, rules and codes and working knowledge of securities and futures products
  • Good command of written and spoken English and Mandarin
  • Good communication skills and able to work with all levels of people
  • Hard-working, independent and responsible
  • Sales experience preferred

Interested candidate please CLICK apply button to apply online or send your resume in MS word format to Hillman Ross Recruitment Solution Professional

For more information please contact Lucas Wu +852 2986 1991

Please note that only shortlisted candidate will be notified. All information will be treated in strict confidence and solely used for recruitment purposes.