Job ref no.: CT3116128-01#1873

Responsible Officer (Type 4 & 9)

KCG Securities Asia Limited

  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan


Act as Responsible Officer to supervise SFC Type 4 & 9 regulated activities

Develop business strategies and oversee the development of asset management and/or investment management of the funds

Responsible for portfolio construction and performance measurement

Formulate, review and update the operations procedures to ensure full regulatory compliance

Provide support and assist to senior management on firm’s investment function

Implement business development and marketing plan


University graduates in business related disciplines 

Must be a current SFC Type 9 Responsible Officer License holder or Licensed Representative for over 5 years

5 years of experience in SFC regulated activities and at least 2-3 years of management experience

Sound knowledge of SFO, SFC Code of Conduct and rules

Good command of written and spoken English and Chinese and Putonghua

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More job information
Job ref no. CT3116128-01#1873
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree