Senior Manager / Type 1 RO & MIC - Securities Business

• Key Business Leadership Role
• Platform Expansion & Growth

About Our Client

Our client is a well-established Hong Kong-based financial institution with strong Mainland China connectivity.

Job Description

• Act as a Type 1 Responsible Officer (RO) and key business owner (MIC) for the Securities business.
• Lead and manage a team of approximately 10 staff across dealing and settlement functions.
• Oversee daily securities trading activities, including equities, margin financing, bonds, and ECM-related products.
• Ensure compliance with SFC regulatory requirements and internal control standards.
• Work closely with management to develop compliant business initiatives and identify new growth opportunities.
• Support VIP and high-net-worth clients while maintaining strong governance over client asset handling and operational controls.
• Drive operational efficiency, risk management, and business development initiatives across the platform.

The Successful Applicant

• Existing Type 1 Responsible Officer (RO) or strong candidate eligible for RO appointment.
• Strong hands-on experience running a Securities business; not just a license holder but actively involved in day-to-day operations.
• Solid background managing dealing desks, securities operations, and regulatory responsibilities.
• Experience leading teams and managing both front-office and settlement functions.
• Strong product knowledge across equities, margin financing, bonds, and capital markets products.

What's on Offer

If you are ready to take on this role, we encourage you to apply.