Responsible Officer (RO) - Type 6 - Securities firm

RecruitPRO Consultancy Hong Kong Limited; Hong Kong; On-site; HKD 502,000 - 670,000; Full time

Benefits offered by this job

Comprehensive benefits

Career development opportunities

Job summary

RecruitPRO Consultancy Hong Kong Limited seeks a qualified Type 6 Responsible Officer to support corporate finance and takeovers activities in Hong Kong. You will lead Takeovers Code transactions, liaise with SFC/HKEX, and ensure regulatory compliance across operations.

The candidate should hold a Type 6 RO license and possess strong knowledge of HK capital markets, with bilingual proficiency in English and Chinese.

Qualifications

• Bachelor degree or above in Finance, Accounting, Laws or related disciplines; overseas education preferred.
• Holder of a valid Type 6 RO license, unconditional for Takeovers Code transactions.
• Good command of Hong Kong capital market, laws and regulations.
• Sound knowledge of the SFO, related guidelines, and experience in verbal and written communication with the SFC and HKEX.
• Good command of spoken and written English and Chinese; fluent in Mandarin and strong Chinese writing skills.
• Independent, detail-oriented and able to work under pressure.

Responsibilities

• Act as Type 6 RO and hold an unconditional license for Hong Kong Takeovers Code transactions.
• Liaise with external professional parties and communicate with authorities, including the SFC and HKEX, in connection with project execution.
• Ensure business operations comply with all applicable regulatory requirements, laws and risk management policies.
• Handle SFC inquiries, inspections and licensing matters when necessary.

Skills

Regulatory knowledge

SFC/HKEX liaison

Attention to detail

English & Chinese bilingual

Education

Bachelor's degree in Finance, Accounting, Laws or related disciplines

Overseas education preferred

Job description

Responsible Officer (RO) - Type 6 - Securities firm

We are a small-to-medium-sized securities firm in Hong Kong. To support our corporate finance and takeovers-related activities, we are seeking a qualified Type 6 Responsible Officer to join our team.

Act as Type 6 RO and hold an unconditional license for Hong Kong Takeovers Code transactions;

Liaise with external professional parties and communicate with relevant authorities, including the SFC and HKEX, in connection with project execution;

Ensure business operations comply with all applicable regulatory requirements, laws and risk management policies;

Handle SFC inquiries, inspections and licensing matters when necessary.

Requirements:

Bachelor degree or above in Finance, Accounting, Laws or related disciplines; overseas education preferred;

Holder of a valid Type 6 RO license, unconditional for Takeovers Code transactions;

Good command of Hong Kong capital market, laws and regulations;

Sound knowledge of the SFO, related guidelines, and experience in verbal and written communication with the SFC and HKEX;

Good command of spoken and written English and Chinese; fluent in Mandarin and strong Chinese writing skills;

Independent, detail-oriented and able to work under pressure.

Package:

Monthly salary around HK$45K -60K, negotiable based on experience and qualifications;

Comprehensive benefits and career development opportunities.