Senior RO (SFC Type 4/9) - Compliance & Licensing

Headshot Recruitment Limited; Hong Kong; Remote; HKD 900,000 - 1,300,000; Full time

Job summary

Headshot Recruitment Limited seeks a Responsible Officer for Type 4 and Type 9 regulated activities, accountable for supervising these activities and ensuring compliance with SFO and SFC Codes.

The role requires strong regulatory knowledge, at least 5 years in financial services, and fluency in English with Cantonese or Mandarin; you will lead licensing, regulatory liaison, and internal controls.

Qualifications

• Current SFC Type 4 and 9 RO status or eligibility to act as an RO for Type 4 and 9 regulated activities.
• At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
• A degree in Finance, Law, Business Administration, or related fields.
• Fluency in English and Cantonese or Mandarin is essential.

Responsibilities

• Act as Responsible Officer for Type 4 and Type 9 regulated activities and supervise these activities.
• Ensure the firm’s operations comply with the SFO, SFC Codes of Conduct, circulars, guidelines, and all applicable regulatory requirements.
• Maintain and update the firm’s compliance policies, procedures, and internal control systems.
• Act as the primary point of contact with the SFC on licensing, regulatory, and compliance matters.

Skills

Regulatory knowledge

Compliance management

English proficiency

Cantonese/Mandarin

Education

Finance/Law/Business Administration degree

Tools

Microsoft Office

Job description

Headshot Recruitment Limited seeks a Responsible Officer for Type 4 and Type 9 regulated activities, accountable for supervising these activities and ensuring compliance with SFO and SFC Codes.

The role requires strong regulatory knowledge, at least 5 years in financial services, and fluency in English with Cantonese or Mandarin; you will lead licensing, regulatory liaison, and internal controls.