Responsible Officer

Ethereal Tech Pte. Ltd.; Hong Kong Island; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

Ethereal Tech Pte. Ltd. seeks a Responsible Officer to oversee the Company’s Type 1 regulated activity (securities dealing) and to drive client onboarding, KYC, and online/mobile trading platforms.

The role covers supervision of client assets, settlements, and regulatory liaison in a fast-paced retail brokerage environment. Ideal candidates will have SFC RO approval, extensive Type 1 experience, and strong Chinese/English communication skills to interact with regulators and stakeholders

Qualifications

• Must have prior approval by the SFC as RO for Type 1 activity.
• At least 3 years of Type 1 securities experience in the last 6 years.
• Hands-on experience with a retail securities brokerage, online trading platform, or mobile trading app.
• Strong knowledge of Hong Kong and U.S. equities, IPOs, and brokerage operations.
• Solid understanding of client asset protection, clearing and settlement, margin financing, and investor protection regulations.
• Excellent written and spoken Chinese and English.

Responsibilities

• Oversee and manage the Company’s day-to-day Type 1 regulated activity (dealing in securities), ensuring full compliance with the requirements of the Hong Kong Securities and Futures Commission (SFC) and other applicable laws and regulations.
• Participate in the setup and development of the Company’s retail securities brokerage business, including client onboarding, KYC, online and mobile trading, order execution, settlement, and client servicing.
• Supervise client assets and client money, margin financing, margin call procedures, and forced liquidation processes.
• Review and enhance business plans, operating procedures, internal control frameworks, and risk management policies.
• Manage trading, operations, and back-office teams, ensuring appropriate segregation of duties and effective checks and balances.
• Handle client complaints, unusual trading activities, and regulatory enquiries.
• Support the Company in licence enhancement or expansion initiatives and liaise with the SFC, auditors, legal advisers, and system vendors as required.
• Continuously monitor trading systems and external execution brokers to ensure system stability, operational resilience, and business continuity.

Skills

Regulatory compliance

Team management

Communication with regulators

Bilingual Chinese/English

Stakeholder liaison

Job description

Responsible Officer – Type 1 Regulated Activity

Key Responsibilities

Oversee and manage the Company’s day-to-day Type 1 regulated activity (dealing in securities), ensuring full compliance with the requirements of the Hong Kong Securities and Futures Commission (SFC) and other applicable laws and regulations.

Participate in the setup and development of the Company’s retail securities brokerage business, including client onboarding, KYC, online and mobile trading, order execution, settlement, and client servicing.

Supervise client assets and client money, margin financing, margin call procedures, and forced liquidation processes.

Review and enhance business plans, operating procedures, internal control frameworks, and risk management policies.

Manage trading, operations, and back-office teams, ensuring appropriate segregation of duties and effective checks and balances.

Handle client complaints, unusual trading activities, and regulatory enquiries.

Support the Company in licence enhancement or expansion initiatives and liaise with the SFC, auditors, legal advisers, and system vendors as required.

Continuously monitor trading systems and external execution brokers to ensure system stability, operational resilience, and business continuity.

Requirements

Must have previously been approved by the Hong Kong Securities and Futures Commission as a Responsible Officer for Type 1 regulated activity, with no relevant restrictions or conditions imposed on the individual licence.

At least 3 years of relevant experience in Type 1 securities business within the most recent 6 years.

Must have hands‑on experience with a retail securities brokerage, online trading platform, or mobile trading application.

Strong knowledge of Hong Kong equities, U.S. equities, IPOs, and securities brokerage operations.

Solid understanding of client asset protection, clearing and settlement, margin financing, and regulatory requirements relating to retail investor protection.

Strong communication skills with regulators, proven team management capabilities, and excellent written and spoken Chinese and English.