Job ref no.: CT3128012-01#4814

Responsible Officer ( Type 1,4 & 9 )

Sinostar Securities Limited


  • Act as a Responsible Officer to supervise Type 1, 4 & 9 regulated activities in compliance with SFC regulations;
  • Formulate, review and update the operational procedures to ensure full regulatory compliance;
  • Supervise and manage daily securities brokerage operation and stock dealing activities, account opening process and customer services;
  • Provide advice and support to management on strategic activities and daily operations; and
  • Perform other ad-hoc projects and assignments as required.


  • Degree holder in Finance, Economics or a business-related discipline;
  • Licensed SFC Responsible Officer for Type 1, 4 & 9 regulated activities (without conditions);
  • Dealing experiences in local and overseas stock market will be an advantage;
  • Solid knowledge in compliance and application of SFC regulations and guidelines;
  • Minimum 5-year relevant experience as a Responsible Officer in Type 1, 4 & 9 regulated activities is preferred; and
  • Able to work under pressure, with strong leadership and excellent interpersonal skill.
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More job information
Job ref no. CT3128012-01#4814
Job Function
  • Tsimshatsui
Employment Term
  • Full-time
  • 5-day week
  • Discretionary bonus
  • Medical plan