Responsible Officer (RO)

Responsible Officer (RO) Type 1,4

Responsibilities

• Serve as the Responsible Officer (RO) for the company’s Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities.
• Oversee the daily operations of the securities trading business, ensuring full compliance with SFC regulations and internal policies regarding KYC and licensed activities; maintained a thorough understanding of the regulatory frameworks of the SFC, HKEX, and other relevant bodies.
• Develop, review and update operational manuals to maintain full regulatory compliance.
• Participate in formulating business development strategies and drive new product development and market expansion.
• Lead and arrange coverage of institutional clients(banks, funds,corporate treasuries)
• Develop and maintain strong relationships with institutional clients
• Provide investment solutions and advice on bonds, gold, and CD products
• Coordinate with clients on trading, settlement, and custody arrangements
• Ensure platform operations comply with regulatory and internal requirements
• Participate in platform testing, implementation, and ongoing maintenance

Requirements

• University graduates in business related disciplines
• Currently or recently approved by the SFC as a Responsible Officer (RO) for Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities.
• Possess at least 5 years of relevant experience in the regulated financial services industry in Hong Kong, including a minimum of 3 years in a Responsible Officer or equivalent management role, with extensive expertise in compliance, risk management, and regulatory affairs.
• Possess a deep understanding of the SFC regulatory framework, the Securities and Futures Ordinance (SFO), and the Code of Conduct, as well as familiarity with Anti-Money Laundering (AML), Know Your Customer (KYC), and market conduct standards.
• Demonstrate a strong compliance mindset and practical experience in liaising and communicating with regulatory bodies.
• Must satisfy the SFC's fit-and-proper requirements and have no adverse regulatory or disciplinary history
• Excellent written and spoken English, Cantonese and Mandarin
• Immediately available is an advantage