Responsible Officer

Rise Associates Asia Limited; Hong Kong; On-site; HKD 558,000 - 1,004,000; Full time

Job summary

Rise Associates Asia Limited is seeking an experienced Responsible Officer (RO) to lead and oversee regulated insurance brokerage and wealth management operations in Hong Kong. The RO will supervise daily activities, ensure IA and SFC compliance, and provide strategic guidance to the business.

The role requires registration or eligibility as RO, 5–7 years in financial services with 3 years in a supervisory capacity, and a relevant bachelor’s degree.

Qualifications

• Must be registered or eligible as RO under local regulatory frameworks.
• 5–7 years in financial services with at least 3 years in management or supervisory capacity.
• Bachelor’s degree in Business Administration, Finance, Law, Insurance, or related discipline.
• Fluent in English, Cantonese and Mandarin.

Responsibilities

• Supervise regulated activities in compliance with IA and SFC regulations.
• Formulate and update operational protocols, internal controls and compliance policies.
• Direct and manage daily brokerage operations, client advisory services and risk management.
• Act as primary contact with regulatory bodies (IA, SFC, IRDAI, etc.).
• Review and approve product offerings and client suitability assessments for life, general insurance and wealth solutions.

Skills

Regulatory compliance

Leadership

Risk management

Regulatory reporting

Education

Bachelor’s degree

Job description

Our client is seeking an experienced and qualified Responsible Officer (RO) to lead and oversee the regulated insurance brokerage and wealth management operations. The candidate will be responsible for supervising day-to-day regulated activities, ensuring strict adherence to Insurance Authority (IA) and Securities and Futures Commission (SFC) regulations, and providing strategic guidance to the business.

Key Responsibilities

Supervise regulated activities in compliance with IA guidelines and SFC regulations. Formulate, review, and update operational protocols, internal controls, and compliance policies.

Direct and manage daily brokerage operations, team activities, and client advisory services to ensure ethical standards and risk management protocols are met.

Act as the primary point of contact with regulatory bodies (IA, SFC, IRDAI, or equivalent local authorities). Handle regulatory reporting, audits, inquiries, and inspections.

Review and approve product offerings, sales literature, and client suitability assessments for life, general insurance, and wealth solutions.

Key Requirements

Currently registered or eligible for registration as a Responsible Officer under relevant local regulatory frameworks.

Minimum 5–7 years of financial services experience, with at least 3 years in a management or supervisory capacity within an insurance brokerage or wealth management firm.

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

Deep understanding of insurance laws, regulatory codes of conduct, product compliance, and risk frameworks.

Fluency in English, Cantonese and Mandarin).

Your application will include the following questions:

• What's your expected monthly basic salary?
• How many years' experience do you have as a Responsible Officer?
• What is your highest level of education?

What can I earn as a Responsible Officer