Responsible Officer (Type 9)

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 23 Mar 18 2018-03-23

Our client is a comprehensive and sizable financial group with business in Securities Brokerage, Asset Management. And is backed by U.S. listed Fintech company. With the continuous business grow, they are able to offer genuine career paths to their employee. An opportunity now exists for an experienced Responsible Officer (Type 9) professional to join their organization in Securities Brokerage team.

Roles and Responsibilities:

  • Act as Responsible Officer to supervise SFC Type 9 regulated activities;
  • Responsible for SFC license application, set up operations procedures, guidelines and infrastructure to ensure business runs smooth, in productivity and effectiveness of the Type 9 regulated activities;
  • Manage daily operations, including account opening process, account maintenance and customer services;
  • Liaise with internal departments and external parties (such as SFC, HKEX and HKFE...etc.) to ensure all business activities, investment guidelines are complying with related regulations;
  • Manage and maintain good relationship with both internal and external stakeholders and financial institutions;
  • Participate in system enhancements, UATs and ad hoc projects; and
  • Occasionally travel to mainland may be required.


  • Degree or above in Accounting, Economics, Finance or other related discipline;
  • At least 5 years' solid experiences in asset management securities firm;
  • Holder of SFC Type 9 licenses is essential;
  • Good knowledge of SFC, regulations and guidelines of relevant regulatory authorities and risk managemnt control is essential;
  • Experienced in margin financing is preferred;
  • Good team player and capable of working in a fast-paced environment;
  • Good interpersonal, presentation and communication skills, independent & strong sense of responsibility;
  • Good command of both spoken and written English and Chinese, and fluency in Putonghua is a must;
  • Proficient in PC knowledge such as Word, Excel, Outlook, PowerPoint; Chinese word processing is essential;
  • Immediate available is preferred.