Institutional Trade RO

My client, a fast-growing financial services company is looking for Responsible Officer to oversee the firm's Type 1 and Type 2 regulated activities. You will lead day-to-day institutional operations, ensure strong risk and compliance controls, and act as the key contact for SFC/HKEX.

Key responsibilities

• Oversee institutional brokerage operations to ensure compliance with the SFO, SFC rules, HKEX requirements, and internal policies
• Act as the designated RO for Type 1 & Type 2 and provide independent regulatory supervision
• Manage institutional controls covering client servicing, execution flow, post-trade support, and account administration
• Lead regulator liaison, including enquiries, inspections, filings, interviews, and remediation follow-up
• Maintain and update institutional SOPs / risk frameworks in coordination with Compliance & Risk teams
• Drive operational improvements and support institutional system/process upgrades
• Support staff training on regulatory requirements and operational discipline

About you

• Qualified to act as SFC RO for Type 1 and Type 2 (Type 3/4/9 is a plus)
• Minimum 7 years Hong Kong brokerage experience
• Solid understanding of SFO / SFC circulars / HKEX rules / AML & compliance controls
• Strong accountability, problem-solving, and ability to handle regulatory matters under timelines
• Fluent English & Cantonese & Mandarin

Please apply the job ad or send your CV to [email protected]