Responsible Officer (RO) – HKSFC Type 1 & Type 4

RD Technologies; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

RD Technologies is seeking a diligent, commercially minded Responsible Officer to oversee SFC Type 1 and Type 4 activities. This role centers on strong regulatory judgement, execution across compliance, risk management and governance, with emphasis on control effectiveness.

The successful candidate will hold current SFC RO approval or imminent CVAP completion, bring several years of HK market experience, and communicate in English with Cantonese/Mandarin advantageous.

Qualifications

• Current SFC approval as a Responsible Officer for Type 1 and Type 4, or ability to pass CVAP quickly.
• Typically 5 years of relevant experience in Hong Kong securities, brokerage, asset management or related fields.
• Solid knowledge of the Securities and Futures Ordinance, SFC rules and guidelines.
• Experience with client onboarding controls, KYC and AML/CFT processes.

Responsibilities

• Act as SFC Responsible Officer for Type 1 and Type 4 activities, under licensing structure and approval requirements.
• Support day-to-day supervision of regulated activities and ensure proper oversight at all times.
• Assist regulatory communications, inspections and filings with SFC and other authorities.

Skills

SFC RO

Regulatory oversight

Compliance monitoring

Risk management

Client onboarding controls

KYC AML/CFT

Internal governance

English proficiency

Job description

We are seeking a diligent and commercially minded Responsible Officer (RO) to oversee the firm’s regulated activities under SFC Type 1 (Dealing in Securities) and Type 4 (Advising on Securities). This is a primarily control-oriented role who can combine sound regulatory judgement with strong execution across compliance, operations, risk management and internal governance. Sell-side traders are welcome!

Key responsibilities

Regulatory oversight and supervision

• Act as an SFC Responsible Officer for Type 1 and Type 4 regulated activities, subject to the firm’s licensing structure and the SFC’s approval requirements.
• Support the day-to-day supervision of the firm’s regulated activities and help ensure that appropriate oversight is maintained at all times.
• Support regulatory communications, inspections, information requests, notifications and filings with the SFC and other relevant authorities, as required.

Compliance monitoring and control framework

• Maintain and enhance policies, procedures, manuals and control checklists relating to Type 1 and Type 4 activities.
• Conduct or coordinate periodic compliance monitoring, thematic reviews, control testing and follow-up of remediation actions.
• Review and approve, or provide oversight of, client onboarding and account-opening controls, including KYC, AML/CFT, client classification and documentation requirements.
• Oversee monitoring of suitability, know-your-product, risk profiling, investment recommendations, discretionary mandates where applicable, and client communications.

Business partnership

• Provide timely and practical advice to business and operations teams while maintaining appropriate independence and challenge.
• Help translate regulatory requirements into workable procedures, controls and operating practices.
• Promote a strong culture of accountability, client protection, prudent risk-taking and continuous improvement.

Requirements

• Current SFC approval as a Responsible Officer for Type 1 and Type 4 regulated activities with CVAP passed or be able to pass very quickly.
• Relevant experience in Hong Kong securities, brokerage, asset management, investment advisory, private wealth, financial markets operations, compliance or regulatory control functions.
• Typically, 5 years of relevant experience, with demonstrable exposure to Type 1 and Type 4 activities.
• Solid working knowledge of the Securities and Futures Ordinance, SFC rules, codes and guidelines, particularly those relevant to licensed corporations, conduct, suitability, AML/CFT, supervision and internal controls.
• Practical understanding of securities dealing and/or investment advisory processes, including the supporting middle- and back-office control environment.
• Strong experience in compliance monitoring, risk and control assessment, incident management, policy implementation and regulatory governance.
• Excellent attention to detail, documentation skills and ability to identify, investigate and resolve control issues.
• Strong written and spoken English. Cantonese and/or Mandarin would be advantageous.