Job ref no.: CT3114387-01#8730

Responsible Officer (RO1)

Conners Recruitment

Our client, a well-established investment bank to invite high caliber candidates to join their company.


  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm.
  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm.
  • Manage daily operations to ensure full regulatory compliance.
  • Comply with all applicable laws, rules and regulations and standard of good market practices

Desired Skills & Experience:


  • Degree holder in Accounting, Business Administration or equivalent;
  • Current holder of SFC unconditional Responsible Officer license for Type 1 regulated activities. Experience in Type 2, 4 and 5 activities will be an advantage.
  • Experience in dealing with mainland clients will be a big plus
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Solid understanding about brokerage, wealth management and back office operations, risk controls and investment process will be a plus.
  • Strong analytical, communication and interpersonal skills
  • Ability to work independently, familiar with securities dealing operations
  • Good command of written & spoken English and Chinese (Mandarin and Cantonese)

To apply, please send your detailed resume by clicking Apply Now or contact Boei Yan at 3460 2012 for a confidential discussion.

Only shortlisted candidates will be notified.

All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited

2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090 Website:

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More job information
Job ref no. CT3114387-01#8730
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 0 year - 5 years
Career Level
  • Non-management level
  • Degree