Responsible Officer — Regulatory Operations & Risk Lead

Cathay Securities (Hong Kong) Limited; Hong Kong; On-site; HKD 1,800,000 - 2,400,000; Full time

Job summary

The candidate should possess a finance or business degree with at least five years in management, including three as RO, and strong English and Chinese communication skills. This is a senior, hands-on leadership position in our Hong Kong office.

Qualifications

• Degree in finance or business related.
• Minimum of 5 years’ solid experience in a management role, with at least 3 years as a Responsible Officer (Type 1).
• Strong leadership and communication skills across all levels of the organization.
• Detail-oriented, analytical, and proactive in problem-solving.
• Proficient in English and Chinese (spoken and written).

Responsibilities

• Act as Responsible Officer for SFC Type 1 and Type 4 activities.
• Lead internal control and risk-management setup for the business.
• Liaise with SFC on licensing matters.
• Oversee trading, settlement, risk control, and client service.
• Manage end-to-end deal flow across equities, fixed income and SN.
• Update operations procedures to ensure regulatory compliance.
• Prepare documentation of policies and procedures.
• Support ad-hoc management tasks.

Skills

Leadership

Regulatory compliance

Risk management

Communication

Multi-tasking

Education

Bachelor's degree in finance or related

Job description

The candidate should possess a finance or business degree with at least five years in management, including three as RO, and strong English and Chinese communication skills. This is a senior, hands-on leadership position in our Hong Kong office.