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Responsible Officer 1,4 & 9 (Securities Focus)HRM Consulting Limited
Responsible Officer 1,4 & 9 (Securities Focus)HRM Consulting Limited
Job Highlights
  • Unconditional RO is required
  • Qualified to be RO 9 is considerable
  • Business Development
Job Description

This Securities & Asset Management firm, with a strong company background, provides integrated financial services across the business. Due to its impressive financial performance and continued growth, an excellent opportunity has arisen for a Responsible Officer to lead the team. With an excellent reputation within the market, they are definitely a company you would aspire to work for.

To be a success within this Responsible Officer  1,4 & 9 role, you will be required to have the following previous experience:

  • Act as Responsible Officer to supervise SFC Type 1, 4 AND 9 regulated activities
  • With solid experience in securities and asset management relating to portfolio management
  • Monitor, review and update daily operations & SFC regulated activities in compliance with HKSFC regulations
  • Provide support and assist to senior management on firm’s investment function
  • Develop and implement business development

Deep knowledge of SFO, SFC Code of Conduct and rules will also be essential for the role. For candidates with the correct requirements, it is also crucial that you speak fluent English and Mandarin and familiar with Hong Kong and Mainland Chinese finance markets 

Additional Information
Years of Experience
8 years
Employment Type
Full Time, Permanent
Five-day work week
Company details

HRM Consulting Limited provides full suite recruitment cycle to our Clients and Candidates. We select the best talent and provide professional support throughout the hiring process.

This is a permanent opportunity based in Hong Kong and paying an attractive remuneration, bonus and benefits. If you are interested, please send your CV with current salary, expected salary and notice period to