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Type1,4,5,&9 RO

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Aiko Zhang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    3 months ago

  • Expiry date:


  • Startdate:



Our client is a Chinese e-trading brokerage firm with over 30 years of history in both Mainland China and Hong Kong. They are now looking for experienced Type 1,4,5,9 RO to join their rapidly growing team in Hong Kong. You will enjoy the fast-paced environment of young and energetic culture upon joining our client.


  • Supervise daily operations & SFC Type 1,4, 5,9 regulated activities to ensure compliance with statutory regulations and internal policies.
  • Review and update the operation and compliance manual to ensure full, up-to-date regulatory compliance.
  • Advise on risk management of the operations.
  • Liaise with SFC, HKEX and other regulatory bodies for regulated activities


  • Licensed Holder of Responsible Officer under SFC for Type 1,4,5 & 9 regulated activities
  • Minimum of 5  years or above relevant experience in securities and of which 3 years in management level
  • Strong connection and exposure with business partners and investors
  • Good understanding of SFC regulations and guidelines of relevant regulatory authorities
  • Take up ad hoc assignments requested by the management from time to time
  • Aggressive, result oriented and highly-motivated
  • Fluent in English and Chinese, ideally Mandarin