Job ref no.: CT3116508-01#2392

Responsible Officer (SFC Type 6)

Mario Recruitment Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

We look for a fit & proper Responsible Officer who is eligible to supervise Type 6 regulated activities for our client who a corporate finance and advisory services institution in Hong Kong. We have both full-time RO assignments and flexible-hour RO opportunities.


Job Responsibilities

You will assist in preparing for SFC license applications and for related SFC regulatory duties reporting to senior executive management. Key responsibilities include:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities
  • To originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
  • To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To establish proper documentation of all regulated activities
  • To handle compliance cases and complaints
  • To assist in communicating with regulatory bodies

Job Requirements


  • A holder of bachelor degree or above from reputable universities
  • Having 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities;
  • Current holder of SFC Responsible Office license for Type 6 RA preferred
  • Current holder of Type 6 Rep would also be considered
  • Possessing strong leadership, analytical, communication and presentation skills
  • A native or business professional level speaker of Cantonese, Mandarin or English

Please submit your full resume, CE No. and current & expected packages to us via Apply Now. Applications with insufficient information will not be processed. Personal data collected will be used for recruitment purposes only.

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More job information
Job ref no. CT3116508-01#2392
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 5 years - 8 years
Career Level
  • Middle management level
  • Degree