Responsible Officer

Key Responsibilities

• Supervise and manage surities dealing, investment advisory, and asset management businesses, ensuring full compliance with SFC and related regulatory requirements.
• Oversee daily securities trading operations, including order execution, reconciliation, monitoring outstanding orders, and margin risk control.
• Manage client onboarding, account opening, KYC/AML checks, and maintain accurate client data records.
• Provide strategic advice and operational support to management, including team building, staff supervision and mentoring.
• Develop, review, and update compliance policies and manuals; conduct regular compliance reviews and audits to identify risks.
• Coordinate management of conflicts of interest, establish disclosure mechanisms, and strengthen internal control systems.
• Act as the core contact with SFC and other regulators, handling compliance reporting, regulatory inquiries, and verification matters.
• Perform ad‑hoc projects, assignments and other duties as directed by management.

Requirements

• Bachelor's degree or above, with a preference for majors such as Economics, Finance, Accounting, or related disciplines(s).
• Holder of valid SFC license(s) for Type 1, 4, and/or 9 regulated activities.
• Minimum 5 years of relevant experience in securities dealing, investment advisory, and/or asset management.
• In‑depth knowledge of Hong Kong securities regulations and SFC licensing requirements.
• Good command of Chinese and English, proficiency in Putonghua is a must.
• Strong sense of responsibility, good team player with strong communication skill.
• Integrity, professional competence, and commitment to regulatory compliance.
• Willing and able to work under pressure.