Job ref no.: CT3119080-01#5510

Responsible Officer (Type 1 & 4)

Global Associates

  • 5-day week
  • Discretionary bonus
  • Insurance plan


  • Oversee the overall operation in Hong Kong
  • Ensuring the group's compliance of SFC regulation and liaising with SFC when necessary
  • Implementing regulatory guidelines and codes and ensuring the accuracy of statutory returns


  • Existing Unconditional Responsible Officer for following are required:
    • Dealing in securities (Type 1)
    • Advising on securities (Type 4)
  • Solid related management experience in a securities firm
  • Excellent hands on experience in running the firms operations and compliance activities required
  • Self-motivated, proactive, a strong team player
  • Proficiency in written and spoken English and Cantonese.


If you are interested please send your full resume in MS Word format, along with salary history and expectation to Daniel Luk by clicking Apply Now.

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More job information
Job ref no. CT3119080-01#5510
  • N/A
Job Function
  • Sheung Wan
Employment Term
  • Permanent
  • Full-time
  • 6 years - 11 years
Career Level
  • Middle management level
  • Degree