Responsible Officer (RO)

We are looking for a qualified Responsible Officer to be part of our management team, supporting the oversight of regulated activities and ensuring compliance with SFC requirements. The role works closely with senior management to contribute to business growth and operational excellence. Experience in fixed income and/or wealth management, as well as exposure to AI applications, is an advantage.

Key Responsibilities

• Act as a RO for regulated activities.

• Collaborate with senior management to oversee regulated business operations and ensure compliance with applicable requirements.

• Supervise licensed staff and support day-to-day business activities, particularly in fixed income / wealth management.

• Support the firm in adopting AI tools and technologies in a compliant and effective manner.

• Contribute to management decision-making and strategic initiatives.

Requirements

• Eligible to be appointed as an RO by the SFC.

• Minimum 5 years’ relevant experience in financial services.

• Experience in fixed income and/or wealth management preferred.

• Basic understanding or exposure to AI / fintech applications in financial services is an advantage.

• Good knowledge of SFC rules and regulatory requirements.