Responsible Officer (RO)

UNAL Asset Trading(Hong Kong) Co.,Ltd; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

UNAL Asset Trading(Hong Kong) Co.,Ltd is seeking a Responsible Officer to oversee Type 1 and Type 4 regulated activities. The role ensures daily operations meet SFC, HKEX and internal policies, with a focus on KYC and licensed activities.

The successful candidate will lead regulatory compliance efforts, develop manuals, and drive business expansion while maintaining strong relationships with institutional clients and providing investment solutions.

Qualifications

• University graduates in business related disciplines.
• Currently or recently approved by the SFC as a Responsible Officer for Type 1 and Type 4 regulated activities.
• At least 5 years in the regulated financial services industry in Hong Kong, including 3+ years in RO or equivalent management.
• Deep understanding of the SFC framework, SFO, and Code of Conduct; AML/KYC familiarity.
• Strong compliance mindset and ability to liaise with regulatory bodies.
• Must satisfy SFC fit-and-proper requirements with no adverse history.
• Excellent written and spoken English, Cantonese and Mandarin.
• Immediate availability is advantageous.

Responsibilities

• Serve as the Responsible Officer for Type 1 and Type 4 activities; oversee daily operations.
• Ensure compliance with SFC regulations and internal policies on KYC and licensed activities.
• Develop, review and update operational manuals for regulatory compliance.
• Participate in formulating business development strategies and drive product development.
• Lead and arrange coverage of institutional clients (banks, funds, corporate treasuries).
• Develop and maintain strong relationships with institutional clients.
• Provide investment solutions and advice on bonds, gold, and CD products.
• Coordinate with clients on trading, settlement, and custody arrangements.
• Ensure platform operations comply with regulatory and internal requirements.
• Participate in platform testing, implementation, and ongoing maintenance.

Skills

Regulatory compliance

Risk management

Regulatory affairs

SFC rules

Education

Business degree

Job description

Serve as the Responsible Officer (RO) for the company’s Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities.

Oversee the daily operations of the securities trading business, ensuring full compliance with SFC regulations and internal policies regarding KYC and licensed activities; maintained a thorough understanding of theregulatory frameworks of the SFC, HKEX, and other relevant bodies.

Develop, review and update operational manuals to maintain full regulatory compliance.

Participate in formulating business development strategies and drive new product development and market expansion.

Lead and arrange coverage of institutional clients(banks, funds,corporate treasuries)

Develop and maintain strong relationships with institutional clients

Provide investment solutions and advice on bonds, gold, and CD products

Coordinate with clients on trading, settlement, and custody arrangements

Ensure platform operations comply with regulatory and internal requirements

Participate in platform testing, implementation, and ongoing maintenance

Requirements

University graduates in business related disciplines

Currently or recently approved by the SFC as a Responsible Officer (RO) for Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities.

Possess at least 5 years of relevant experience in the regulated financial services industry in Hong Kong, including a minimum of 3 years in a Responsible Officer or equivalent management role, with extensiveexpertise in compliance, risk management, and regulatory affairs.

Possess a deep understanding of the SFC regulatory framework, the Securities and Futures Ordinance (SFO), and the Code of Conduct, as well as familiarity with Anti-Money Laundering (AML), Know Your Customer(KYC), and market conduct standards.

Demonstrate a strong compliance mindset and practical experience in liaising and communicating with regulatory bodies.

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

Excellent written and spoken English, Cantonese and Mandarin

Immediately available is an advantage