Responsible Officer (149RO)

Qogir (Hong Kong) Limited; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Qogir (Hong Kong) Limited is seeking an experienced Regulatory Officer to oversee Type 1, 4 and 9 activities, ensuring daily operations comply with SFC requirements.

The role acts as the main liaison with the Hong Kong SFC and regulators, manages licensing applications, and drives fund setup initiatives for OFC and Cayman funds while strengthening risk controls and onboarding workflows.

Qualifications

• Bachelor’s degree or above; eligible for SFC Type 1, 4 and 9 RO licenses.
• 5+ years in securities; familiar with licensed corporations' operations and fund setup.
• Excellent English and Chinese written and verbal communication; team player.

Responsibilities

• Maintain daily operations and compliance for Type 1, 4, and 9 RO activities.
• Liaise with HK SFC and regulators; handle inquiries, responses, and licensing applications.
• Lead funds setup and management framework for OFC and Cayman funds.
• Identify, monitor, and mitigate unusual client trading activity.

Skills

English and Chinese communication

Regulatory compliance

Team collaboration

Education

Bachelor's degree or above

Job description

Responsibilities

Maintain the daily operations and compliance of the company's Type 1, 4, and 9 regulated activities; serve as the primary liaison with the Hong Kong SFC and relevant regulatory bodies, handling regulatory inquiries, responses, and follow-ups on subsequent licensing applications.

Lead the setup, launch, and management framework structuring for various funds (such as OFC funds, Cayman funds, etc.).

Deepen the understanding of Type 1, 4, and 9 regulated activities to optimize onboarding, trading, and fund management workflows; participate in the design of new products/business models to drive operational standardization and innovation.

Identify, monitor, and assess unusual client trading activities, and implement swift and effective risk mitigations.

Requirements

Bachelor’s degree or above; holds or meets the qualifications to apply for SFC Type 1, 4, and 9 Responsible Officer (RO) licenses.

5+ years of experience in the securities industry; thoroughly familiar with licensed corporations' daily operational and compliance procedures, as well as fund setup processes; EAM (External Asset Manager) experience is a plus.

Excellent written and verbal communication skills in both English and Chinese; strong team player with a high sense of responsibility.

Complies with the relevant requirements under the SFC Fit and Proper Guidelines.

Responsible Officer

Central, Central and Western District, HK

Wan Chai District, HK