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Responsible Officer - SFC Type 3 (Good work-life balance)

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Stephanie Lui

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    6 months ago

  • Expiry date:


My client is a reputable payment company with presence across the globe. They are now looking for a Type 3 RO based in Hong Kong with excellent career progression and good work-life balance. 


  • To supervise SFC regulated activities in Type 3 business in particular
  • To develop new discretionary management accounts
  • To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To establish proper documentation of all regulated activities
  • To handle compliance cases and complaints
  • To assist in communicating with regulatory bodies


Job Requirements:

  • Having 5+ years of solid experience, relevant experience in ETrading Platform is preferred, and strong relationship management experience is highly preferred.
  • A holder of bachelor degree or above in Business, Finance or related discipline
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 3; experienced Licensed Rep will also be considered Competitive incentive plan for business development, excellent understanding of leading practices, processes and trends in finance
  • Solid communication, good negotiating and interpersonal skills
  • Ability to work independently under tight timeline
  • Strong people manager, able to lead teams and develop others
  • Excellent verbal and written communication skills

Interested parties, please send your CV to