Responsible Officer (RO) SFC Type 2 & 5

 Our client is a bank and brokerage firm based in US.  It is recognized as one of the largest financial service companies and one of the biggest brokerage firm all around the world. The company provides services for individuals and institutions that are investing online.


  • Comply with regulatory rules and requirements and fulfil all compliance responsibilities as required
  • Oversee and handle futures trading
  • Ensure all business activities are complying with SFC rules and regulations and provide assistance in communicating with SFC and other pertinent regulators


  • Degree holder in Finance, Economics, Business Administration and related discipline
  • RO or qualified to be registered as Responsible Officer of RA 2 and RA 5
  • Good command of written and spoken English and Chinese (including Putonghua)
  • Prior regulatory relationship management experience is preferred

If you are interested in finding out more about this career opportunity, please email your resume to Yifan Yan, Tel: (852) 3151 1320 Web:

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