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Confidential via Lote and Partners

Responsible Officer (Types 1, 4 & 9)

Hong KongFinance

About the role

FinEx AI summary

Provide senior oversight of SFC-regulated securities dealing, advisory, and asset management activities. Ensure compliance with SFC requirements and act as key accountability point to the regulator and senior management. Requires 10-15 years of relevant industry experience.

Core skills

Securities DealingInvestment AdvisoryAsset ManagementSFC Regulatory ComplianceSecurities and Futures Ordinance (SFO)Risk Management

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