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- Responsibilities Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities Must acquire new clients and asset independently as well as the a... ...onstruction and performance measurement using financial tools ~ Strong business sense and in-depth ...
- Responsibilities: 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 ...
- ... provide services for recruiting candidates, serving multinational and local companies in Greater China region. SFC Responsible Officer Type 1,2,4,9 Our client is with SFC 1, 2,4,6 and 9 licenses and is looking for a RO to manage the operations :- Requirem...
- Responsibilities: Act as a Responsible Officer to supervise SFC Type 4 & 9 regulated activities in compliance with SFC regulations; Manage and supervise daily fund operations to ensure full regulatory compliance; Work with senior management on a company’s inv...
- ...ocesses. Take overall responsibility for ensuring compliance in... ... licensed as a Responsible Officer under SFC Type 1/2/4 or eligible for licensing.... ... to candidates with a Type 9 license. At least 8+ ... ...or regulatory advisory for financial products in Hong Kong. ...
- RESPONSIBILITIES Act as the Responsible Officer to supervise SFC Type 4,9 regulated activities; Ensure all business activities adhere to the regulations and supervisory requirements of the Hong Kong Securities and Futures Commission (SFC) for Type 9 licensed com...
- Job Responsibilities Implementation of investment strategies and policies to... ...required SFC licenses (i.e. No. 4 & 9) to function as the fund’s Responsible Officer Significant working experien... ...essive leadership experience in financial investment, financial analysis ...
- Key Responsibilities: Lead and manage the application of the company... ... be a qualified Responsible Officer (RO) in compliance with SFC... ...tions and hold SFC licenses 1, 4, and 9. A bachelor's degree or ... ...rong knowledge of Hong Kong financial regulations, particularly S...
- To Responsibilities: Monitor the compliance functions of the Company and implement the necessary actions to ens... ...Requirements: Current holder of SFC Responsible Officer license for Types 1 / 2 / 4 / 5 / 6 / 9 regulated activities Minimum 3-5 years solid ex...
- Key Responsibilities: Act as the Responsible Officer for SFC Type 9 regulated activities, ensuring adherence to all legal and regulatory requirements. De... ... Minimum 5 years of relevant experience in the financial services industry, with strong knowledge of SFC...
- ...the operations procedures At least 4 years’ involvement in offshore bond i... ...uties: Must be qualified to be SFC Type 1,4 Responsible Officer; Excellent communication and inter... ...elop strategic relationships with PRC financial institutions with capacity in Central...
- Job Title: Responsible Officer, SFC Type 9 Location: Hong Kong Responsibilities: Responsible for leading asset management business ... ...ce with at least 3 years in asset management gained from financial institutions More than 2 years of management experien...
- OurCrowd is seeking a full-time Responsible Officer (RO) licensed under the Hong Kong SFC (Types 1 & 4) for our Hong Kong office. This individual will play a key role in supporting investor relations and fulfilling regulatory obligations. The candidate will report to ...
- ... for recruiting candidates, serving multinational and local companies in Greater China region. SFC Responsible Officer Type 3 Our client is a SFC Type 1,2,3,4,6,9 licensed company seeking for a RO for Type 3 activity. Responsibilities : Act as Responsible Of...
- To SFC Responsible Officer - Type 7 Job Description Act as the Responsible Officer (RA7) to manage the regular activities and/or other executive roles of the company upon the appointment or delegation by the company Develop and setup automated/electronic tra...
- Responsible Officer (RO) - Regulatory and Compliance (Type 1, 4, 9) Your new company Leading securities firm in China, providing a wide range of financial services including securities trading, asset management, and investment advisory. We are committed to main...
- ... : ~ Fast-growing boutique financial service provider in Hong Kon... ...Commission in Hong Kong with Type 1 (dealing in securities), 4 (advising on securities) and 9 (Asset Management) licenses.... ...lity services; ~ Report to Responsible Officer any trades irregularities; ...
- ... company is currently hiring a Compliance Officer to join their Compliance team and perform... ...y research and regulatory gap analyses in response to evolving regulations. Provide ass... ...ting or related discipline. Requires 1-2 years of Compliance/AML experience in b...
- Responsibilities Act as Responsible Officer with management responsibilities and duties to supervise SFC 1,4,9 regulated activity of the Group Formulate and implement business str... ...t experiences gained from banking or financial services institutions Holder of R...
- ...g to provide services for recruiting candidates, serving multinational and local companies in Greater China region. SFC Responsible Officer Type 6 with PS license Job Responsibilities: Manages and leads the execution of IPO sponsor, FA, IFA and other corporate ...
