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Listed four days ago

Compliance Officer (SFC Type 1,4,9)

at Realord Asia Pacific Securities Limited

This is a Full time job

Central, Central and Western District
  • Compliance MIC & MLRO (Type 1,4,9)
  • Manage client regulatory and compliance policies
  • Immediate available is highly preferable
Responsible for Compliance affairs and acts as MIC & MLRO for SFC regulations Type 1,4,9
subClassification: Compliance & RiskCompliance & Risk classification: Banking & Financial Services(Banking & Financial Services)
4d ago
Listed nine days ago

Responsible Officer (Type 1, 4)

at Cathay Securities (Hong Kong) Limited

This is a Full time job

Central, Central and Western District
  • 5 working days per week, double pay
  • Medical, Dental, Life insurance
  • Responsible Officer (Type 1)
Lead end-to-end deal flow and transaction execution across diverse asset classes, including equities, fixed-income and SN.
subClassification: Stockbroking & TradingStockbroking & Trading classification: Banking & Financial Services(Banking & Financial Services)
9d ago
Listed four days ago

Compliance Executive

at First Shanghai Investments Ltd

This is a Full time job

Central and Western District
  • Min. 1 yrs of compliance experience in financial industry
  • 5 days work, double pay, medical & life insurance
  • Convenience location
Manages SFC Type 1, 4, 6, 9 and HKEX compliance, oversight of licensing, AML checking, internal policy drafting, staff training, and regulator liaison
subClassification: Compliance & RiskCompliance & Risk classification: Banking & Financial Services(Banking & Financial Services)
4d ago
Listed three hours ago

Senior Accountant / Finance Manager - Type 1,4,9

at Ambition

This is a Full time job

Central and Western District
60000
  • Work-life balance
  • Convenient location
  • Stable working environment
Our client is a well-established investment management firm, they are looking for a Senior Accountant/ Finance Manager to join the firm.
subClassification: Financial Accounting & ReportingFinancial Accounting & Reporting classification: Accounting(Accounting)
3h ago
Listed thirty seven minutes ago

Responsible Officer 1,9 - Private Equity

at Page Executive
Be an early applicant

This is a Full time job

Central and Western District
Discretionary Bonus
  • Familiar with SFC 1,9 private equity business
  • Hand-on experience on Private Equity investor reporting
  • Solid track record of Private Equity deal execution, portfolio management
Responsible Officer 1,9 - Private Equity
subClassification: Account & Relationship ManagementAccount & Relationship Management classification: Sales(Sales)
37m ago
Listed twenty five days ago

Senior / Compliance Officer (SFC Type 1,4,9)

at Realord Asia Pacific Securities Limited

This is a Full time job

Central, Central and Western District
  • Compliance MIC & MLRO (Type 1,4,9)
  • Manage client regulatory and compliance policies
  • Immediate available is highly preferable
Responsible for Compliance affairs and acts as MIC & MLRO for SFC regulations Type 1,4,9
subClassification: Compliance & RiskCompliance & Risk classification: Banking & Financial Services(Banking & Financial Services)
25d ago•Expiring
Listed twelve days ago

Responsible Officer (RO) | Type 4, 9

at Reals Connect Limited

This is a Part time job

Hong Kong Island(Remote)
Our client is a licensed asset management firm seeking an experienced Responsible Officer to join their team.
subClassification: Corporate Finance & Investment BankingCorporate Finance & Investment Banking classification: Banking & Financial Services(Banking & Financial Services)
12d ago
Listed twenty one days ago

SFC RA 1/4/9 Representative - Assistant Manager / Senior Officer

at Gain Miles Assurance Consultants Limited

This is a Full time job

Kwun Tong District
  • AI-Enabled Production Transformation
  • Pension Investment & Employee Services
  • Holder of SFC Type 1, Type 4 and Type 9 Representative Licences is preferred
Join the GUM team to challenge yourself with an exciting career, enjoy our unique GUM culture, and help grow our EB business!
subClassification: Analysis & ReportingAnalysis & Reporting classification: Banking & Financial Services(Banking & Financial Services)
21d ago
Listed six days ago

证券公司负责人员 - 1号及4号牌 RO of Securities Firm (Type1&4 Licenses)

at Asia Progress Executive Limited

This is a Full time job

Central and Western District
  • Approved by SFC as a Responsible Officer: Type 1 & Type 4 regulated activities
  • Min 8yr (min 3yr in RO) relevant exp in Securities Business/Head Securities
  • Familiar SFC regulatory framework: SFO & AML & KYC
Act Responsible Officer (RO) for the company’s Type 1 & Type 4 regulated activities; Oversee the daily operations of the securities trading business
subClassification: Funds ManagementFunds Management classification: Banking & Financial Services(Banking & Financial Services)
6d ago
Listed twenty six days ago

Responsible Officer (SFC Type 4, 9)

at Gorgeous Asset Management Limited

This is a Part time job

Central, Central and Western District
$30,000 – $45,000 per month
  • 19 years of financial-services experience on the Chinese mainland
  • Broad Management Mandate
  • Clear Career Advancement Path
As the licensed Responsible Officer for Types 4 and 9, you will have full oversight of the firm’s operations and compliance functions.
subClassification: Funds ManagementFunds Management classification: Banking & Financial Services(Banking & Financial Services)
26d ago•Expiring
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