Responsible Officer (Type 1 & 4)

  • N/A
  • Hong Kong
  • Permanent, Full time
  • Global Associates
  • 17 Jan 18 2018-01-17

Our client is a local securities company. It is now inviting applications for the Responsible Officer (Type 1 & 4).


  • Oversee the overall operation in Hong Kong
  • Ensuring the group's compliance of SFC regulation and liaising with SFC when necessary
  • Implementing regulatory guidelines and codes and ensuring the accuracy of statutory returns



  • Existing Unconditional Responsible Officer for following are required:
    • Dealing in securities (Type 1)
    • Advising on securities (Type 4)
  • Solid related management experience in a securities firm
  • Excellent hands on experience in running the firms operations and compliance activities required
  • Self-motivated, proactive, a strong team player
  • Proficiency in written and spoken English and Cantonese.



If you are interested please send your full resume in MS Word format, along with salary history and expectation to Daniel Luk ( and a cc: copy to