Responsible Officer (RO, Type 1&4 Licenses)

Ruibang Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Ruibang Securities Limited, based in Hong Kong, seeks a qualified Responsible Officer (RO) to oversee the firm's securities trading activities and ensure regulatory compliance.

The RO will supervise Type 1 and Type 4 operations, review client accounts and transactions, provide strategic guidance, and collaborate with other departments to mitigate risks while keeping abreast of regulatory changes. English, Cantonese and Mandarin proficiency is essential for leadership and external interactions.

Qualifications

• Hold valid Type 1 and Type 4 RO licenses issued by the SFC.
• Strong understanding of securities trading regulations and compliance requirements.
• Proficient in written and verbal communication in English, Cantonese and Mandarin.
• Ability to work independently and lead a team effectively.

Responsibilities

• Oversee and manage the firm's Type 1 and Type 4 operations.
• Ensure the firm's compliance with all applicable regulations and internal policies.
• Review and approve client account openings, transactions and client communications.
• Provide strategic guidance and support to the team.
• Collaborate with other departments to identify and mitigate potential risks.
• Stay up-to-date with industry developments and regulatory changes.
• Represent the firm in dealings with regulatory authorities.
• Experience in ECM/IPO/Placing activities and FINI operations is an advantage.

Education

Type 1 RO license

Type 4 RO license

Job description

Responsible Officer (RO, Type 1&4 Licenses)

Ruibang Securities Limited is seeking a highly motivated and experienced Responsible Officer (RO) to join our team. As a Responsible Officer, you will be responsible for overseeing and managing our firm's securities trading activities, ensuring compliance with all relevant regulations.

What you'll be doing

Supervise and manage the firm's Type 1 and Type 4 operations

Ensure the firm's compliance with all applicable regulations and internal policies

Review and approve client account openings, transactions and client communications

Provide strategic guidance and support to the team

Collaborate with other departments to identify and mitigate potential risks

Stay up-to-date with industry developments and regulatory changes

Represent the firm in dealings with regulatory authorities

Experience in ECM/IPO/Placing activities and FINI operations is an advantage

What we're looking for

Hold valid Type 1 and Type 4 RO licenses issued by the Securities and Futures Commission (SFC)

Strong understanding of securities trading regulations and compliance requirements

Proficient in written and verbal communication in English, Cantonese and Mandarin

Ability to work independently and lead a team effectively

About us

Ruibang Securities Limited is a leading financial services firm based in Hong Kong. We specialise in securities trading and ECM activities. With a team of experienced professionals and a strong track record of success, we are dedicated to providing our clients with exceptional service and expertise.

Central, Central and Western District, HK