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

iPlatform HR Service Limited; Hong Kong; On-site; HKD 480,000 - 780,000; Full time

Job summary

iPlatform HR Service Limited seeks a Representative (Type 4,9) with a clear RO pathway. The role is to act as a Licensed Representative for SFC Type 4 and 9, ensuring regulatory compliance and effective risk oversight within the firm.

The candidate will work closely with senior management to uphold the Code of Conduct and regulatory standards. Applicants should have at least 3 years in financial services with hands-on SFC compliance exposure, a relevant bachelor’s degree, and fluency in English

Qualifications

• Must hold SFC Type 4 and Type 9 licenses as Licensed Representative.
• Minimum 3 years in financial services with SFC compliance experience.
• Detail-oriented, highly analytical, proactive problem-solver.
• Bachelor’s degree in Finance, Law, or related field.

Responsibilities

• Act as Licensed Representative for SFC Type 4 and 9 with RO pathway.
• Support oversight and ensure compliance with SFC regulations and Code of Conduct.
• Develop and implement compliance policies and risk management frameworks.
• Monitor trading activities and conduct regular compliance reviews.
• Liaise with the SFC for regulatory filings and reporting.
• Advise senior management on regulatory changes.

Skills

Regulatory compliance

SFC regulations

Risk management

Analytical thinking

Education

Bachelor's degree in Finance

Job description

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

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).

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

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

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

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

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

Job Requirements:

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).

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.

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

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

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