Responsible Officer & Director

Riche Bright Securities Limited; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Job summary

Riche Bright Securities Limited in Hong Kong seeks an experienced Responsible Officer (RO) approved for SFC Type 1, 4, and 9 activities to serve as Director and Oversight (OMO). The role provides strategic leadership and daily supervision of dealing, fund management, risk, and settlement operations.

The candidate must hold a bachelor’s degree or higher with at least five years in SFC-regulated institutions and a proven RO track record, plus deep knowledge of SFO/SFC rules; Mandarin and Cantonese

Qualifications

• Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
• Minimum 5 years in SFC-regulated institutions with at least 3–5 years as an active SFC RO (Type 1, 4, 9).
• Deep knowledge of the Securities and Futures Ordinance (SFO), AML/CFT regulations, and SFC guidelines.
• Knowledge of products such as HK stock, US stock; LPF/Cayman Fund; TCSP and TRS experience is advantageous.
• Strong leadership, strategic planning, and risk management capabilities.

Responsibilities

• Oversee dealing, fund management, risk management, and settlement operations.
• Provide strategic leadership and daily supervision over regulated activities.
• Ensure strict compliance with SFO, SFC Codes of Conduct, AML/CFT policies, and ongoing compliance protocols.

Skills

Leadership

Regulatory compliance

SFC RO duties

Risk management

Team mentoring

Education

Bachelor's degree or above in Finance, Economics, Business Admin or related

Job description

Act as Type 1, 4, and 9 Responsible Officer (RO) approved by the SFC, and serve as Director & Overall Management Oversight function (OMO) to oversee the firm’s regulated activities.

Provide strategic leadership and daily supervision over dealing, fund management, risk management, and settlement operations.

SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.

Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.

Requirements:

• Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
• Minimum 5 years of solid experience in SFC-regulated financial institutions, with at least 3–5 years of proven track record as an active SFC Type 1, 4, and 9 RO.
• Deep knowledge of the Securities and Futures Ordinance (SFO), Anti-Money Laundering (AML) regulations, and SFC guidelines.
• Knowledge of products such as HK stock, US stock, LPF/Caymen Fund; also with TCSP and TRS experience is advantage;
• Strong leadership, strategic planning, and risk management capabilities.
• Native/Fluent in Mandarin and Cantonese, with excellent command of written and spoken English.
• Immediate availability or short notice is highly preferred

What can I earn as a Responsible Officer