SFC RO & MIC (Type 1/4/9) – Director

Headsearch21 Consultancy Ltd; Hong Kong; On-site; HKD 55,000 - 60,000; Full time

Benefits offered by this job

Special Bonus

Bank holiday

Medial (100% claim)

Annual Leave 18-22 days

Working time: Mon-Fri 9am to 6pm

Job summary

Headsearch21 Consultancy Ltd is seeking an experienced Responsible Officer (Type 1, 4, 9) at Director Grade in Central. You will oversee RO and MIC duties for regulated activities, ensuring compliance with SFC, SFO, and FRR while steering strategic risk management and approvals.

The role requires leadership in licensing expansion, oversight of compliance manuals, and interaction with SFC/regulators, with strong English, Mandarin, and Cantonese skills expected.

Qualifications

• SFC approved Responsible Officer (RO) for Type 1, 4 and 9 activities.
• Solid supervisory experience in securities brokerage, asset management, private banking, or External Asset Management (EAM).
• Experience supervising regulated activities and implementing internal control frameworks.
• Knowledge of SFO, AML/CFT, FRR, and product suitability.
• Able to liaise with SFC and regulatory bodies and manage inspections.

Responsibilities

• Act as an SFC-approved RO and MIC for Type 1, 4, 9 regulated activities.
• Lead top-level investment and compliance committees and drive business strategies.
• Design and drive the application for SFC Type 1 license expansion.
• Ensure compliance with SFO, SFC Codes, AML/CFT, and FRR requirements.
• Manage client onboarding, trade execution, portfolio management, and regulatory reporting.

Skills

SFC RO

Education

Bachelor's degree or above in Finance, Accounting, Law, Economics, or related disciplines

Job description

Headsearch21 Consultancy Ltd is seeking an experienced Responsible Officer (Type 1, 4, 9) at Director Grade in Central. You will oversee RO and MIC duties for regulated activities, ensuring compliance with SFC, SFO, and FRR while steering strategic risk management and approvals.

The role requires leadership in licensing expansion, oversight of compliance manuals, and interaction with SFC/regulators, with strong English, Mandarin, and Cantonese skills expected.