SFC Type (1, 2, 4, 6, 7, 9, 10) Responsible Officers (RO)

TeamPlus Consulting Limited

Key Responsibilities:

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm 
  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm 
  • Manage daily operations to ensure full regulatory compliance
  • Comply with all applicable laws, rules and regulations and standard of good market practices


  • Minimum 5 years of solid experience in SFC licensed firms relating to any one of the areas: portfolio management, dealing, research, proprietary trading, discretionary account management, private equity, special situations, corporate finance, ATS, and credit rating.
  • Current holder of SFC Responsible Officer license for Type 1/ 2/ 4/ 6 /7 / 9/ 10 regulated activities preferred. However, current Representatives will also be considered if they have the abovementioned experiences.
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Solid understanding about middle and back office operations, risk controls and investment process of fund management companies a plus
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
  • Good command of written & spoken English and Chinese (including Mandarin)

Interest parties please send your full resume with expected salary and availability date


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More job information
  • 5-day week
  • 13-month pay
  • Discretionary bonus
  • Medical plan
Job Function
  • Central
Employment Term
  • Permanent
  • Contract
  • Full-time
  • 5 years
Career Level
  • Senior management level
  • Degree