Responsible Officer (Type 1)

Job Responsibilities:

1. Oversee the daily operations of the firms Type 1 regulated activity (securities trading), ensuring business conduct complies with the Securities and Futures Ordinance (SFO) and relevant SFC codes.
2. Conduct compliance reviews of client account opening, trade execution, client asset custody, and sales processes.
3. Review and enhance internal compliance manuals, operational procedures, and risk control systems.
4. Serve as one of the primary liaisons with the SFC, handling routine compliance inquiries, periodic filings, on-site inspections, and subsequent remedial actions.
5. Perform compliance assessments for new businesses and products, identify potential regulatory risks, and propose feasible solutions.
6. Assist in training licensed representatives and non-licensed staff to ensure the team understands and adheres to regulatory requirements.
7. Experience in incharge of SFC Inspection.

Job Requirements:

1. Minimum of 8-10 years of relevant experience in securities business operations.
2. Immediate available is highly preferred.
3. Ability to quickly identify the core issues when faced with compliance inquiries, business conflicts, or SFC queries, and propose effective solutions.
4. Familiar with common regulatory focus areas in Type 1 business, including client suitability, anti-money laundering (AML), personal account trading, and record keeping.
5. Strong written and spoken English and Chinese (Cantonese/Mandarin), capable of drafting compliance reports and communicating with the SFC fluently in either English or Chinese.