SFC Type 1 Responsible Officer — Compliance & Regulation Lead

Jimei Securities Ltd; Hong Kong; On-site; HKD 335,000 - 446,000; Full time

Job summary

Jimei Securities Ltd is seeking a Responsible Officer (RO) approved by the SFC for Type 1 regulated activities in Hong Kong. The role involves overseeing compliance with all applicable laws and the SFC Code of Conduct, and developing procedures to boost productivity.

Candidates should have 1–2 years of relevant financial services experience, strong regulatory knowledge, and fluency in English with Cantonese or Mandarin.

Qualifications

• Must hold SFC Type 1 RO with unconditional RO status and eligibility to act as RO for Type 1 activities.
• 1–2 years of relevant financial services experience with strong understanding of SFC regulations and guidelines.
• Be detail-oriented and highly analytical with proactive problem solving.
• Interact effectively with staff and external parties.
• Fluency in English and Cantonese or Mandarin required.
• Knowledge of Virtual Assets is an advantage.

Responsibilities

• Act as SFC RO approved for Type 1 activities.
• Oversee and ensure compliance with applicable laws and SFC Code of Conduct.
• Formulate and review internal procedures to improve productivity.
• Assist in communicating with regulatory bodies.
• Handle ad-hoc duties as required.

Skills

SFC Type 1 RO status

Regulatory compliance

English proficiency

Cantonese or Mandarin

Knowledge of Virtual Asset

Education

DSE or equivalent

Job description

Jimei Securities Ltd is seeking a Responsible Officer (RO) approved by the SFC for Type 1 regulated activities in Hong Kong. The role involves overseeing compliance with all applicable laws and the SFC Code of Conduct, and developing procedures to boost productivity.

Candidates should have 1–2 years of relevant financial services experience, strong regulatory knowledge, and fluency in English with Cantonese or Mandarin.