Responsible Officer (RO) (Type 1, 2, 4 & 9)

SR Wealth Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

SR Wealth Securities Limited in Hong Kong seeks an experienced Responsible Officer (RO) for Types 1, 2, 4 & 9 to ensure regulatory compliance across stockbroking and trading operations. This full-time role requires overseeing compliance frameworks, AML/CTF controls, and liaison with the SFC.

The successful candidate will possess a current SFC RO licence (Types 1/2/4/9) or the ability to obtain one promptly, with a minimum of six years’ experience in related financial services roles and a proven

Qualifications

• Current and valid SFC Responsible Officer licence covering Types 1, 2, 4 and 9, or ability to obtain one within a reasonable timeframe.
• Minimum 6 years' experience in stockbroking, trading, investment advisory, or related roles within the financial services industry.
• Proven track record of managing regulatory compliance and internal controls within a licensed financial institution.
• Comprehensive knowledge of SFC regulations, Market Conduct provisions and relevant securities laws in Hong Kong.
• Strong understanding of AML/CTF compliance requirements and best practices in client due diligence.

Responsibilities

• Supervise and oversee all licensed activities under Types 1, 2, 4 and 9 to ensure full SFC compliance.
• Develop and maintain robust compliance frameworks and internal controls.
• Monitor trading and investment advisory activities to mitigate regulatory risks.
• Ensure adherence to AML/CTF regulations and procedures.
• Conduct audits and inspections of processes and client management practices.
• Liaise with the SFC and other regulators on compliance matters.
• Provide guidance and training on regulatory obligations to staff.
• Maintain records to demonstrate compliance and approve client onboarding procedures.

Skills

SFC RO licence

Regulatory compliance

AML/CTF knowledge

Regulatory liaison

Stockbroking experience

Communication skills

Job description

Responsible Officer (RO) (Type 1, 2, 4 & 9)

About the role
SR Wealth Securities Limited is seeking an experienced Responsible Officer (RO) (Type 1, 2, 4 & 9) to join our team in Sheung Wan, Central and Western District. This is a full-time position that plays a critical role in ensuring regulatory compliance and maintaining the highest standards of governance across our stockbroking and trading operations. As a Responsible Officer, you will be instrumental in overseeing key business functions and ensuring adherence to Securities and Futures Commission (SFC) regulations and internal policies. This position carries significant responsibility and directly impacts the firm's ability to operate effectively within the regulatory framework.

Key responsibilities

Supervise and oversee all aspects of business activities licensed under Types 1, 2, 4 and 9 to ensure full compliance with SFC requirements and regulatory standards

Develop, implement and maintain robust compliance frameworks and internal control systems relevant to the assigned licensed activities

Monitor and review trading and investment advisory activities to identify and mitigate potential regulatory risks

Ensure adherence to anti-money laundering (AML) and counter-terrorist financing (CTF) regulations and procedures

Conduct regular audits and inspections of operational processes and client management practices

Liaise with the SFC and other regulatory bodies on compliance matters and regulatory inquiries

Provide guidance and training to operational and client-facing staff on regulatory requirements and compliance obligations

Maintain detailed records and documentation to demonstrate compliance with regulatory requirements

Review and approve client onboarding procedures, including know-your-client (KYC) and customer due diligence (CDD) processes

Report on compliance matters to senior management and the board of directors as required

What we're looking for

Current and valid SFC Responsible Officer licence covering Types 1, 2, 4 and 9, or the ability to obtain one within a reasonable timeframe

Minimum 6 years' experience in stockbroking, trading, investment advisory, or related roles within the financial services industry

Proven track record of successfully managing regulatory compliance and internal controls within a licensed financial institution

Comprehensive knowledge of SFC regulations, Market Conduct provisions and relevant securities laws applicable to Hong Kong

Strong understanding of AML/CTF compliance requirements and best practices in client due diligence

Excellent communication and interpersonal skills, with the ability to engage effectively with regulators, management and operational teams

Demonstrated problem-solving abilities and a proactive approach to identifying and addressing compliance risks

High level of integrity, professionalism and commitment to regulatory compliance

Relevant professional qualifications such as the SFC Responsible Officer examinations or equivalent qualifications in financial services regulation

Experience in a senior compliance or supervisory role within a stockbroking firm or investment advisory company would be advantageous

We welcome applications from qualified candidates and look forward to hearing from you.