Responsible Officer – Institutional Securities

WilliamSELECT; Hong Kong; On-site; HKD 1,200,000 - 2,600,000; Full time

Job summary

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to provide senior oversight of its institutional securities business. The role focuses on regulatory supervision, governance and operational risk within a growing platform.

The successful candidate will partner with senior management, compliance, operations and technology to ensure robust controls, drive regulatory examinations and implement cross-functional initiatives.

Qualifications

• Currently approved, or recently approved, by the SFC as a Responsible Officer for Type 1 and Type 2 regulated activities
• At least 5 years of relevant experience in institutional brokerage, securities dealing, futures or similar regulated business
• Strong understanding of the Securities and Futures Ordinance, SFC requirements, HKEX rules, AML/CTF obligations and institutional brokerage controls
• Practical experience supervising institutional trading, client servicing, dealing, operations or related regulated activities
• Demonstrated ability to manage regulatory reviews, operational incidents, control enhancements and cross-functional projects
• Strong understanding of governance, risk management, internal controls and regulatory reporting
• SFC fit-and-proper requirements with no adverse regulatory history
• Excellent written and spoken English and Cantonese
• Strong communication, leadership, negotiation and stakeholder-management skills

Responsibilities

• Act as an SFC-approved Responsible Officer for the firm's Type 1 and Type 2 regulated activities
• Oversee the firm's institutional securities and brokerage operations in accordance with the SFO, SFC requirements and HKEX rules
• Supervise the day-to-day conduct of regulated activities and ensure controls, procedures and escalation mechanisms are in place
• Provide guidance on regulatory matters, business practices, client onboarding, trading activities and operational risk
• Support regulatory examinations, inspections, enquiries and ongoing communications with the SFC and HKEX
• Monitor regulatory developments and translate new requirements into practical policies and controls
• Provide senior oversight of institutional trading, execution, client servicing, market access and related brokerage activities
• Review and enhance supervisory procedures covering order handling, trade execution, client communications, market conduct and conflicts of interest
• Work with front-office and operations teams to identify, investigate and resolve control issues
• Lead governance initiatives to support compliant growth

Skills

Regulatory leadership

Governance

Stakeholder management

Communication

Risk management

English & Cantonese

Education

Bachelor's degree in finance/economics/business/law

SFC-approved Responsible Officer

Tools

SFC RO process

Job description

Responsible Officer – Institutional Securities

Our client is an established, technology-driven financial services company with a growing institutional securities business in Hong Kong. The firm is seeking an experienced and suitably qualified SFC-approved Responsible Officer to provide senior oversight of its institutional brokerage activities and support the continued development of its operating platform.

About the role

This is a key leadership position with responsibility for regulatory supervision, institutional business governance, operational oversight and cross-functional initiatives. The successful candidate will work closely with senior management, business teams, compliance, operations, technology and external stakeholders to ensure the business grows within a robust control framework.

Candidate Profile

The ideal candidate will be a confident regulatory and business leader who can operate effectively between institutional brokerage, senior management, compliance and technology teams. You should be comfortable taking ownership of supervisory responsibilities, making sound decisions under pressure and improving systems and processes without compromising regulatory standards.

This role would suit an experienced RO from an institutional securities house, brokerage, investment bank, exchange participant or technology-led financial services platform who is seeking broader responsibility and the opportunity to help shape a growing business.

Key responsibilities

• Act as an SFC-approved Responsible Officer for the firm's Type 1 and Type 2 regulated activities
• Oversee the firm's institutional securities and brokerage operations in accordance with the Securities and Futures Ordinance, SFC requirements and applicable HKEX rules
• Supervise the day-to-day conduct of regulated activities and ensure appropriate controls, procedures and escalation mechanisms are in place
• Provide guidance on regulatory matters, business practices, client onboarding, trading activities and operational risk
• Support regulatory examinations, inspections, enquiries and ongoing communications with the SFC, HKEX and other relevant authorities
• Monitor regulatory developments and translate new requirements into practical policies, procedures and business controls
• Provide senior oversight of institutional trading, execution, client servicing, market access and related brokerage activities
• Review and enhance supervisory procedures covering order handling, trade execution, client communications, market conduct, conflicts of interest and risk management
• Work with front-office and operations teams to identify, investigate and resolve control issues or operational incidents
• Lead or contribute to governance initiatives designed to support the firm's compliant growth

About you

Currently approved, or recently approved, by the SFC as a Responsible Officer for Type 1 and Type 2 regulated activities

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

Strong understanding of the Securities and Futures Ordinance, SFC requirements, HKEX rules, AML/CTF obligations and institutional brokerage controls

Practical experience supervising institutional trading, client servicing, dealing, operations or related regulated activities

Demonstrated ability to manage regulatory reviews, operational incidents, control enhancements and cross-functional projects

Strong understanding of governance, risk management, internal controls and regulatory reporting

Bachelor's degree in finance, economics, business, law or a related discipline

Must satisfy the SFC's fit-and-proper requirements and have no adverse regulatory or disciplinary history

Excellent written and spoken English and Cantonese

Strong communication, leadership, negotiation and stakeholder-management skills