Responsible Officer

Responsible Officer – Type 1 Regulated Activity

Key Responsibilities

• Oversee and manage the Company’s day-to-day Type 1 regulated activity (dealing in securities), ensuring full compliance with the requirements of the Hong Kong Securities and Futures Commission (SFC) and other applicable laws and regulations.
• Participate in the setup and development of the Company’s retail securities brokerage business, including client onboarding, KYC, online and mobile trading, order execution, settlement, and client servicing.
• Supervise client assets and client money, margin financing, margin call procedures, and forced liquidation processes.
• Review and enhance business plans, operating procedures, internal control frameworks, and risk management policies.
• Manage trading, operations, and back-office teams, ensuring appropriate segregation of duties and effective checks and balances.
• Handle client complaints, unusual trading activities, and regulatory enquiries.
• Support the Company in licence enhancement or expansion initiatives and liaise with the SFC, auditors, legal advisers, and system vendors as required.
• Continuously monitor trading systems and external execution brokers to ensure system stability, operational resilience, and business continuity.

Requirements

• Must have previously been approved by the Hong Kong Securities and Futures Commission as a Responsible Officer for Type 1 regulated activity, with no relevant restrictions or conditions imposed on the individual licence.

• At least 3 years of relevant experience in Type 1 securities business within the most recent 6 years.

• Must have hands-on experience with a retail securities brokerage, online trading platform, or mobile trading application.

• Strong knowledge of Hong Kong equities, U.S. equities, IPOs, and securities brokerage operations.

• Solid understanding of client asset protection, clearing and settlement, margin financing, and regulatory requirements relating to retail investor protection.

• Strong communication skills with regulators, proven team management capabilities, and excellent written and spoken Chinese and English.

• 香港第1类负责人员（Responsible Officer）

职位职责：

• 负责公司第1类证券交易业务的日常管理与监督，确保业务符合香港证监会及相关法规要求；
• 参与零售证券业务搭建，包括客户开户、KYC、网上及手机交易、订单执行、结算和客户服务；
• 监督客户资产、客户款项、孖展融资、追缴保证金及强制平仓流程；
• 审阅并完善业务计划、操作流程、内控制度及风险管理政策；
• 管理交易、运营及后台团队，确保职责分工和制衡机制有效；
• 处理客户投诉、异常交易及监管查询；
• 协助公司进行牌照升级，并与证监会、审计师、律师及系统供应商沟通；
• 持续监督交易系统及外部执行券商，确保系统稳定及业务连续性。

任职要求：

• 曾获香港证监会批准担任第1类负责人员，个人牌照无相关限制（必须）；
• 最近6年内具备至少3年第一类证券业务经验；
• 具备零售证券公司、网上交易平台或手机交易APP经验（必须）；
• 熟悉香港股票、美股、IPO及证券经纪业务；
• 熟悉客户资产、结算交收、孖展融资及零售客户保护要求；
• 具备良好的监管沟通、团队管理及中英文表达能力；