about the company.
Our client is a well-established boutique local securities brokerage with a long history of serving private and institutional clients in Hong Kong. They are known for their stable to market expansion. The firm offers a professional and quiet office culture where the focus is on long-term client relationships and rigorous adherence to regulatory standards.
about the team.
You will lead a small, dedicated team of settlement and compliance professionals. As a key member of the management team, you will report directly to the Board of Directors and work closely with other Responsible Officers to maintain a robust operational framework. The team environment is collaborative, transparent, and values technical expertise over aggressive business development.
about the job.
Act as an SFC Responsible Officer to supervise Type 1 & 4 regulated activities with a focus on operations.
Oversee middle and back-office functions, including trade support, settlement oversight, and client onboarding.
Ensure the firm’s daily operations and business activities are in full compliance with the SFC Code of Conduct and the Securities and Futures Ordinance (SFO).
Review and update internal control policies and operational manuals to reflect the latest regulatory changes.
Liaise with the SFC and other regulatory bodies regarding licensing matters, audits, and statutory filings.
Manage operational risk by monitoring trade activities and ensuring the accuracy of the firm's books and records.
skills & experience required.
Bachelor’s degree in Finance, Law, Accounting, or a related discipline.
Currently or previously registered with the SFC as a Responsible Officer (RO) for Type 1 & 4.
Minimum 8 years of experience in the securities industry, with a strong background in operations or compliance.
Deep understanding of the SFO, AML guidelines, and relevant market practices in Hong Kong.
Proven leadership ability with a focus on internal controls and operational excellence.
Fluency in English and Cantonese is mandatory; proficiency in Mandarin is an advantage.
If you are interested in this role, please click 'Apply Now' or send your CV directly to Marco.li@randstad.com.hk.
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