Job ref no.: CT3130529-01#1587

Responsible Officer (SFC License Type 1 & Type 2)

Sino-Rich Securities & Futures Limited

Job Responsibilities:
  • Act as Responsible Officer to supervise SFC Type 1 and Type 2 regulated activities.
  • Working with the management team to oversee business operations including but not limited to trading, customer services, settlement, account opening process, risk control, etc.
  • Working with the compliance officer to formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements
  • Liaise with SFC, HKEX and other regulatory bodies for regulated activities related matters
  • Implement business development and marketing plan
  • Ad-hoc duties assigned by the management


  • Degree holder or above
  • Current holder of SFC Responsible Officer license for Type 1 and Type 2 regulated activity
  • At least 3 years of relevant working experience as an RO
  • Profound knowledge and experience of middle & back office operations
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities risk management control
  • Good command of written and spoken English and Chinese (Putonghua & Cantonese)
  • Self-motivated, well organized with excellent interpersonal skills
  • Immediate available is required
We offer a competitive package to the right candidate. All data collected will be treated confidential. Unsuccessful applications will be destroyed after the completion of recruitment process. Interested parties, please email your full resume with expected salary and availability by clicking "Apply Now".

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More job information
Job ref no. CT3130529-01#1587
Job Function
  • Admiralty
Employment Term
  • Full-time
  • 3 years
Career Level
  • Entry level
  • Degree
  • 5-day week
  • Discretionary bonus
  • Medical plan