Institutional Trade RO

PeopleSearch Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

CEB International Investment Corporation Limited in Hong Kong is seeking a Responsible Officer to oversee the firm's Type 1 and Type 2 regulated activities. You will lead day-to-day institutional operations, ensure robust risk and compliance controls, and act as the key contact for SFC/HKEX.

As the designated RO for Type 1 & 2, you will provide independent regulatory supervision, manage client servicing, execution flow, post-trade support and account administration, and coordinate regulator

Qualifications

• Qualified to act as SFC RO for Type 1 and Type 2; Type 3/4/9 is a plus.
• Minimum 7 years Hong Kong brokerage experience.
• Solid understanding of SFO/SFC circulars, HKEX rules, AML and compliance controls.
• Strong accountability, problem-solving, and ability to handle regulatory matters under timelines.
• Willingness to liaise with regulators and manage regulatory filings.

Responsibilities

• Oversee institutional brokerage operations to ensure compliance with the SFO, SFC rules, HKEX requirements, and internal policies
• Act as the designated RO for Type 1 & 2 and provide independent regulatory supervision
• Manage institutional controls covering client servicing, execution flow, post-trade support, and account administration
• Lead regulator liaison, including enquiries, inspections, filings, interviews, and remediation follow-up
• Maintain and update institutional SOPs / risk frameworks in coordination with Compliance & Risk teams
• Drive operational improvements and support institutional system/process upgrades
• Support staff training on regulatory requirements and operational discipline

Job description

My client, a fast-growing financial services company is looking for Responsible Officer to oversee the firm's Type 1 and Type 2 regulated activities. You will lead day-to-day institutional operations, ensure strong risk and compliance controls, and act as the key contact for SFC/HKEX.

Key responsibilities

Oversee institutional brokerage operations to ensure compliance with the SFO, SFC rules, HKEX requirements, and internal policies

Act as the designated RO for Type 1 & Type 2 and provide independent regulatory supervision

Manage institutional controls covering client servicing, execution flow, post-trade support, and account administration

Lead regulator liaison, including enquiries, inspections, filings, interviews, and remediation follow-up

Maintain and update institutional SOPs / risk frameworks in coordination with Compliance & Risk teams

Drive operational improvements and support institutional system/process upgrades

Support staff training on regulatory requirements and operational discipline

About you

Qualified to act as SFC RO for Type 1 and Type 2 (Type 3/4/9 is a plus)

Minimum 7 years Hong Kong brokerage experience

Solid understanding of SFO / SFC circulars / HKEX rules / AML & compliance controls

Strong accountability, problem-solving, and ability to handle regulatory matters under timelines

Hirer responsiveness Salary match Number of applicants

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• How many years of experience do you have in the Securities Industry?
• Which of the following SFC Licenses do you hold?

CEB International Investment Corporation Limited

Wan Chai District, HK