RO - Type 1 and Type 9

Our client, a leading financial institution, have recently obtained their SFC Type 1 and Type 9 license

Key Responsibilities

• Act as SFC Responsible Officer: Supervise, manage, and take direct accountability for the firm’s Type 1 (dealing/brokerage/fund distribution) and Type 9 (discretionary portfolio/asset management) regulated activities.
• Operational Oversight: Oversee daily trading, settlement, portfolio management, account opening (CDD/KYC), and middle/back-office workflows.
• Compliance & Risk Management: Ensure all business operations strictly adhere to the Securities and Futures Ordinance (SFO), SFC Code of Conduct, AML/CFT guidelines, and internal risk controls.
• Regulatory Liaison: Serve as the primary contact point for the SFC, handling licensing matters, regulatory filings, audits, and inquiries.
• Policy & Reporting: Formulate and update operational manuals, conduct regular compliance reviews/risk assessments, and report directly to Senior Management and the Board.
• Business Growth: Collaborate with management to support fund structuring, product development, and client acquisition.

Requirements & Qualifications

• License: Currently holds (or is eligible for immediate approval as) an unconditional SFC Responsible Officer for Type 1 and Type 9 regulated activities (Type 4 qualification is a strong plus).
• Experience: Minimum of 3 to 6 years of solid experience in securities dealing, brokerage, and/or asset/portfolio management within a licensed financial institution in Hong Kong.
• Knowledge: Deep, practical understanding of the SFO, SFC rules, AML/KYC standards, and risk management frameworks.
• Languages: Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).
• Attributes: Proactive, detail-oriented, strong leadership skills, and the ability to work independently in a fast-paced environment.