phase. Position Summary As a Responsible Officer licensed under SFC Type 1 (Dealing in Securities) and Type 7 (Providing...). We are seeking an experienced Responsible Officer (RO) to lead the regulatory setup and ensure full compliance during our launch...
on LinkedIn. It's in your DNA for this role. DNA is partnering with an SFC-licensed Type 1 firm, a leading Family Office (FO... to the Responsible Officer (RO). Responsibilities will include general administrative assistance, meticulous document...
looking for : - Possess a minimum of 2-3 years of experience as a Responsible Officer in the financial services industry - Hold valid Type 1... Responsible Officer (RO) to join our team. As a Responsible Officer, you will be responsible for overseeing and managing our firm...
Responsibilities Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities Must acquire new clients... senior management on the Firm’s investment function Requirements Must be a current SFC Type 1, 4 and 9 Responsible...
Holder of SFC Type 1,2,4,9 license; act as the sole RO for Type 1 activities is an advantage Minimum 3-5 years of relevant...We are seeking an experienced licensed professional to join our team, responsible for overseas equity business...
experience in Client Onboarding and CDD / KYC / AML in investment and securities business SFC License holder of Type 1 and 2...Responsibilities: Assist business units to client onboarding. Handle clients’ inquires and complaints. Responsible...
Requirement： University degree in business, law, finance or related disciplines; At least 1-2 years of compliance... experience in licensed corporations is definitely an advantage; Well versed with SFC regulations and standards, as well...