Responsible Officer (SFC Type 1, 2, 9)

Key Responsibilities

• Act as the SFC-approved Responsible Officer for Type 1, Type 2, and Type 9 regulated activities.

• Ensure all business operations strictly comply with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, Fit and Proper Guidelines, and relevant statutory requirements.

• Formulate, review, and maintain comprehensive compliance manuals, AML/CTF workflows, KYC/CDD protocols, and internal operational policies.

• Supervise and oversee day-to-day securities dealing, margin financing, futures/derivatives execution, and fund/discretionary portfolio management.

• Lead the Middle and Front Office teams to ensure efficient trade booking, clearing, settlement, and asset custody workflows.

• Monitor market risk, credit risk, counterparty risk, and liquidity risk across dealing and fund management operations.

• Drive system enhancements, trading platform implementations, and connectivity testing with HKEX/clearing counterparties.

• Supervise licensed representatives, conduct internal training, and ensure staff adhere to regulatory and code of conduct standards.

Qualifications & Requirements

• License Requirement: Currently or previously approved by the SFC as a Responsible Officer (RO) for Type 1, Type 2, and Type 9 regulated activities (unconditional / Sole RO preferred).
• Experience: Minimum 8–10 years of solid experience in securities brokerage, futures trading, or asset management, including at least 3 years of proven supervisory/management track record.
• Regulatory Knowledge: In-depth knowledge of the SFO, SFC regulations, HKEX rules, AML/CTF guidelines, and fund administration standards.
• Education & Credentials: Bachelor’s degree in Finance, Economics, Business Administration, Law, or a related discipline. HKSI LE qualifications or equivalent recognized exemptions.
• Market & Platform Expertise: Familiarity with order execution systems, trading platforms (e.g., Bloomberg, trading OMS/EMS), clearing mechanisms, and global financial markets.
• Language Skills: Excellent command of written and spoken English and Chinese (Cantonese and/or Mandarin).
• Core Competencies: High integrity, decisive leadership, strong risk mindset, and exceptional communication and stakeholder management skills.