Responsible Officer (Type 7)

Job Responsibilities:

1. Supervise the compliant operation of Type 7 regulated activity (Automated Trading Systems / ATS), ensuring electronic trading systems, algorithmic strategies, and related infrastructure meet SFC requirements.
2. Review compliance controls throughout system development, deployment, changes, and maintenance processes, including system access, real-time monitoring, abnormal trade detection, and risk circuit breakers.
3. Coordinate ongoing compliance work for the ATS license, including annual filings, reporting of major system changes, and coordination of external audits.
4. Serve as the primary point of contact for the SFC on automated trading regulatory matters, handling system-related compliance inquiries, inspections, and remedial actions.
5. Collaborate with IT and risk management teams to ensure there is no gap between system logic and regulatory requirements, and clearly explain technical compliance points to non-technical management.
6. Establish or enhance processes for retaining and retrieving electronic records such as system logs, trade records, and monitoring alerts, meeting SFC record-keeping requirements for ATS.
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 root causes in the event of system anomalies, trade disputes, or SFC inquiries, distinguish between “technical issues” and “compliance issues,” and propose actionable solutions.
4. Familiar with key SFC guidance documents, including the “Guideline for Persons Using Automated Trading Services” and the “Electronic Trading Regulatory Brief.”
5. Strong written and spoken English and Chinese, capable of independently completing system compliance assessment reports and SFC filing materials.