Back to search

Responsible Officer, Type 1 & 4 (RO Type 1 & 4)

One Paramount Recruitment Limited Hong Kong
Full time Permanent On-site Attractive Renumeration

About the job

Responsibilities

  1. Act as the Responsible Officer for Type 1 (Dealing in Securities) and Type 4 (Advising on Securities) regulated activities.
  2. Oversee the daily operations of the company’s securities trading business, ensuring all KYC procedures and licensed activities comply with SFC regulations and internal policies, with strong familiarity in frameworks of the SFC, HKEX, and other relevant regulators.
  3. Assume statutory responsibility to the SFC for licensed activities, ensuring ongoing compliance with licensing conditions and regulatory requirements.
  4. Participate in developing business strategies, driving new product development and market expansion.
  5. Lead the growth of Hong Kong and U.S. securities brokerage, IPO subscription, and advisory businesses, leveraging extensive experience in fund sales, bond trading, and fixed income.
  6. Build and maintain institutional client relationships across Greater China and international markets to enhance the company’s market presence.
  7. Facilitate coordination among Investment Banking, Trading, Research, Compliance, and Operations/Middle & Back Office teams, defining responsibilities and key risk indicators, providing risk advice, and managing potential business risks.

Qualifications

  1. Currently or recently approved by the SFC as a Responsible Officer for Type 1 (Dealing in Securities) and Type 4 (Advising on Securities).
  2. Minimum of 8 years of relevant experience in Hong Kong’s regulated financial services industry, including at least 3 years in a Responsible Officer or equivalent management role, with strong expertise in compliance, risk management, and regulatory affairs.
  3. In‑depth knowledge of the SFC regulatory framework, the Securities and Futures Ordinance, and the Code of Conduct, with familiarity in AML, KYC, and market conduct standards.
  4. Strong compliance awareness and practical experience in liaising with regulatory authorities.
  5. Bachelor’s degree or above in finance, economics, accounting, business administration, or related disciplines.
  6. Proficiency in Mandarin, Cantonese, and English, both spoken and written.
  7. Strong team leadership, cross‑department collaboration skills, and a high sense of responsibility, with the ability to thrive in a multi‑tasking, high‑pressure environment.

*Personal data collected will be used for recruitment purpose only*