Responsible Officer

About the role

Riches Depot Securities Co., Limited is seeking an experienced Responsible Officer (SFC Type 1) to join our compliance and risk management team. As a Responsible Officer, you will play a critical role in ensuring our organisation maintains the highest standards of regulatory compliance and operational excellence within the Securities and Futures Commission (SFC) framework. This position carries significant responsibility for overseeing our operations, maintaining regulatory standards, and safeguarding the integrity of our financial services operations.

Key responsibilities

• Act as RO for the Company's Type 1 regulated activities, with management responsibilities and duties
• Execute clients' trade orders for securities in a timely and accurate manner
• Supervise daily operations to ensure strict compliance with SFC rules, regulations, the Securities and Futures Ordinance, and applicable market practices
• Liaise with SFC on related licensed matters
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures
• Oversee business operations including but not limited to trading, settlement, risk control and client service
• Handle ad-hoc duties as and when required

About you

• Current SFC Type 1 RO license holder
• Senior management experience
• Ability to multi-task and prioritize multiple work requests and perform well under pressure
• Proficiency in both written and spoken English and Chinese (Mandarin and Cantonese)
• Immediate availability is highly preferred