Responsible Officer – Dealing Business

WilliamSELECT; Hong Kong; On-site; HKD 1,200,000 - 2,400,000; Full time

Job summary

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to oversee its dealing business and ensure securities activities comply with SFO/SFC and HKEX requirements. You will provide senior supervision of dealing operations, execution processes, risk controls and governance, collaborating with compliance, operations, technology and senior management.

This role requires current RO approval for Type 1 and Type 2 activities, at least five years in securities dealing or

Qualifications

• Current or recent SFC Responsible Officer approval for Type 1 and Type 2 activities.
• At least 5 years of experience in securities dealing or related regulated business.
• Strong knowledge of order handling, trade execution and brokerage controls.
• Experience with trading platforms or dealing-related technology is advantageous.
• Fluent English and Cantonese; Mandarin is a plus.
• Meet SFC fit-and-proper and competence requirements.

Responsibilities

• Act as Responsible Officer for Type 1 and Type 2 regulated activities.
• Oversee daily dealing, order handling, trade execution and post-trade processes.
• Ensure compliance with SFO, SFC requirements, HKEX rules and internal policies.
• Supervise dealing controls, market conduct, trade surveillance and risk processes.
• Support regulatory inspections, inquiries, reporting and internal reviews.
• Lead improvements to trading systems, workflows, procedures and governance.
• Collaborate with compliance, risk, operations, technology and business teams.
• Provide practical regulatory and dealing guidance to senior management.

Skills

SFC regulatory compliance

Securities dealing experience

Risk controls

English & Cantonese communication

Job description

Our client is an established, well-funded financial technology group with a strong international presence and a long-term commitment to the Hong Kong market. The company provides digital securities trading and investment services across global markets through a reliable, technology-driven platform.

With a focus on sustainable growth, sound governance and long-term client value, the firm continues to invest in its people, systems and regulatory infrastructure. This is an opportunity to join a stable organisation with a clear strategic direction and a professional, collaborative working environment.

The Role

The company is seeking an experienced SFC-approved Responsible Officer to oversee its dealing business and ensure that securities activities are conducted in accordance with applicable regulatory and internal requirements.

You will provide senior supervision of dealing operations, execution processes, risk controls and related governance initiatives, working closely with compliance, operations, technology and senior management.

Key Responsibilities

Act as Responsible Officer for Type 1 and Type 2 regulated activities.

Oversee daily dealing, order handling, trade execution and post-trade processes.

Ensure compliance with the SFO, SFC requirements, HKEX rules and internal policies.

Supervise dealing controls, market conduct, trade surveillance and operational-risk processes.

Support regulatory inspections, enquiries, reporting and internal reviews.

Lead improvements to trading systems, workflows, procedures and governance frameworks.

Work closely with compliance, risk, operations, technology and business teams.

Provide practical regulatory and dealing guidance to senior management and relevant stakeholders.

Requirements

Current or recent SFC Responsible Officer approval for Type 1 and Type 2 regulated activities.

At least 5 years of experience in securities dealing, institutional brokerage, execution services or a related regulated business.

Strong knowledge of order handling, trade execution, brokerage controls and relevant SFC and HKEX requirements.

Experience with trading platforms, order-management systems or dealing-related technology is advantageous.

Strong English and Cantonese communication skills; Mandarin is a plus.

Sound judgement, professional integrity and the ability to work effectively with senior stakeholders.

Must meet the SFC's fit-and-proper and competence requirements for Responsible Officer approval.