Head of Securities Brokerage & Regulatory Compliance

Asia Progress Executive Limited; Hong Kong; On-site; HKD 1,000,000 - 1,300,000; Full time

Job summary

Asia Progress Executive Limited is seeking a high-caliber executive to serve as the Responsible Officer for Type 1 and Type 4 regulated activities in Hong Kong. You will oversee daily securities trading operations, ensure full regulatory compliance, and liaise with SFC and other bodies.

The role requires a deep regulatory background, 8+ years in financial services in HK, and strong leadership to drive business development, product expansion, and international market growth.

Qualifications

• Currently or recently approved by the SFC as a RO for Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities.
• At least 8 years of experience in regulated financial services in Hong Kong, including 3+ years in RO or equivalent management role.
• Deep understanding of the SFC framework, SFO, and Code of Conduct; familiarity with AML, KYC, and market conduct standards.
• Demonstrate strong compliance mindset and experience liaising with regulatory bodies.
• Fluent in Mandarin, Cantonese, and English.

Responsibilities

• Serve as the RO for Type 1 and Type 4 regulated activities.
• Oversee daily operations of the securities trading business with regulatory compliance and internal policies.
• Assume statutory responsibility to the SFC for licensed operations.
• Participate in formulating business development strategies and drive product development and market expansion.
• Spearhead growth of Hong Kong and US securities brokerage, IPO subscription, and trading advisory businesses.
• Develop and maintain institutional client relationships across Greater China and international markets.
• Coordinate among investment banking, trading desk, research, compliance and operations; define KRIs and provide risk-related advice.

Skills

RO license

Regulatory compliance

SFC/SFO knowledge

Stakeholder management

Cross-border business

Education

Bachelor's degree in Finance, Economics, Accounting, or Business Administration

Job description

Asia Progress Executive Limited is seeking a high-caliber executive to serve as the Responsible Officer for Type 1 and Type 4 regulated activities in Hong Kong. You will oversee daily securities trading operations, ensure full regulatory compliance, and liaise with SFC and other bodies.

The role requires a deep regulatory background, 8+ years in financial services in HK, and strong leadership to drive business development, product expansion, and international market growth.