Institutional Trade RO

PeopleSearch Ltd; Hong Kong; In loco; HKD 900.000 - 1.300.000; Tempo pieno

Descrizione del lavoro

PeopleSearch Ltd seeks an experienced Responsible Officer for overseeing the firm's Type 1 and Type 2 regulated activities in Hong Kong. The role leads day-to-day institutional operations, ensures robust risk and compliance controls, and serves as the main contact for SFC and HKEX.

You will be qualified to act as SFC RO for Type 1 and 2, with minimum 7 years HK brokerage experience and deep knowledge of SFO/SFC HKEX rules and AML controls.

Competenze

• Qualified to act as SFC RO for Type 1 and Type 2.
• Minimum 7 years Hong Kong brokerage experience.
• Solid understanding of SFO / SFC circulars / HKEX rules / AML & compliance controls.
• Fluent English, Cantonese and Mandarin.

Mansioni

• Oversee institutional brokerage operations to ensure compliance with 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 inquiries, 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.

Conoscenze

HK brokerage experience

English (fluent)

Cantonese (fluent)

Mandarin (fluent)

Leadership / institutional operations

Descrizione del lavoro

• Minimum 7 years Hong Kong brokerage experience
• Fluent English & Cantonese & Mandarin
• You will lead day-to-day institutional operations

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

• Fluent English & Cantonese & Mandarin