Representative (Type 4,9 Full/Part-Time)

Job Description

1. Act as a Licensed Representative​ for SFC Type 4, and Type 9 (Asset Management) regulated activities, with a clear pathway to be appointed as a Responsible Officer (RO).

2. Support the oversight, manage, and ensure compliance with all applicable laws and SFC regulations, including the Code of Conduct.

3. Support the development and implementation of compliance policies, procedures, and risk management frameworks.

4. Asisst monitor trading activities, conduct regular compliance reviews, and mitigate potential operational risks.

5. Serve as the key liaison with the SFC for regulatory filings, reporting, and ongoing communication.

6. Keep abreast of regulatory changes and advise senior management on compliance matters.

Job Requirements:

1. Must currently hold SFC licenses for Type 4, and 9 as a Licensed Representative.​ (Unconditional RO status is not​ required initially, but candidates must be eligible and ready for RO nomination).

2. At least 3 years​ of solid experience in the financial services industry, with hands-on exposure to SFC regulatory compliance within the past 6 years.

3. Detail-oriented and highly analytical, with a proactive approach to problem-solving.

4. Bachelor’s degree in Finance, Law, Business Administration, or a related field.

5. Fluency in English and Chinese (Cantonese or Mandarin) is required.