Responsible Officer

Riches Depot Securities Co., Limited; Hong Kong; On-site; HKD 1,004,000 - 1,674,000; Full time

Job summary

Riches Depot Securities Co., Limited is seeking an experienced Responsible Officer (SFC Type 1) to join our compliance and risk management team. This role oversees operations, maintains regulatory standards, and safeguards the integrity of our financial services within the SFC framework.

The candidate will act as RO for Type 1 activities, supervise daily operations, and liaise with the SFC on licensed matters.

Qualifications

• Current SFC Type 1 RO license holder.
• Ability to multi-task and prioritize multiple requests.
• Proficient in written and spoken English and Chinese (Mandarin/Cantonese).
• Immediately available preferred.

Responsibilities

• Act as RO for Type 1 regulated activities with management duties.
• Execute clients' trade orders for securities in a timely and accurate manner.
• Supervise daily operations to ensure compliance with SFC rules and ordinances.
• Liaise with SFC on related licensed matters.
• Document operations, policies, and risk control procedures.
• Oversee trading, settlement, risk control, and client service.
• Handle ad-hoc duties as required.

Skills

Regulatory compliance

Risk management

Education

SFC Type 1 RO license

Job description

Riches Depot Securities Co., Limited is seeking an experienced Responsible Officer (SFC Type 1) to join our compliance and risk management team. As a Responsible Officer, you will play a critical role in ensuring our organisation maintains the highest standards of regulatory compliance and operational excellence within the Securities and Futures Commission (SFC) framework. This position carries significant responsibility for overseeing our operations, maintaining regulatory standards, and safeguarding the integrity of our financial services operations.

Key responsibilities

Act as RO for the Company's Type 1 regulated activities, with management responsibilities and duties

Execute clients' trade orders for securities in a timely and accurate manner

Supervise daily operations to ensure strict compliance with SFC rules, regulations, the Securities and Futures Ordinance, and applicable market practices

Liaise with SFC on related licensed matters

Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures

Oversee business operations including but not limited to trading, settlement, risk control and client service

Handle ad-hoc duties as and when required

About you

Current SFC Type 1 RO license holder

Ability to multi-task and prioritize multiple work requests and perform well under pressure

Proficiency in both written and spoken English and Chinese (Mandarin and Cantonese)

Immediate availability is highly preferred

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' experience do you have as a Responsible Officer?
• How many years' experience do you have in a Finance Role?
• Which of the following SFC Licenses do you hold?
• Which of the following IIQE qualifications do you hold?
• Which of the following languages are you fluent in?
• How would you rate your Cantonese language skills?