Responsible Officer (SFC Type 1, 2, 9)

Aden Financial Holdings LTD; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Job summary

Aden Financial Holdings LTD is seeking a senior Responsible Officer in Hong Kong to oversee Type 1, Type 2, and Type 9 activities. The role requires ensuring full compliance with SFO, SFC codes, and related guidelines while directing front-to-back office operations.

You will supervise licensed staff, lead risk management initiatives, and coordinate with trading and settlements teams. Fluency in English and Chinese is essential for stakeholder engagement and regulatory communications.

Qualifications

• License required: SFC RO for Type 1, Type 2 & Type 9 (unconditional / Sole RO preferred).
• 8–10 years in securities brokerage, futures or asset management; 3+ years supervisory/management.
• In-depth knowledge of SFO, SFC rules, HKEX, AML/CTF standards.
• Bachelor's degree in Finance/ Economics/ Business; HKSI LE qualifications or exemptions.

Responsibilities

• Act as SFC-approved RO for regulated activities.
• Ensure compliance with SFO, SFC Codes of Conduct and guidelines.
• Lead compliance manuals, AML/CTF workflows, KYC/CDD protocols.
• Oversee day-to-day securities dealing, margin financing and fund management.
• Supervise and train licensed representatives to meet regulatory standards.
• Drive system enhancements and connectivity testing with HKEX.

Skills

RO license

Regulatory knowledge

Leadership

Bilingual English/Chinese

Education

Bachelor's degree in Finance

Tools

Bloomberg

OMS/EMS

Job description

Act as the SFC-approved Responsible Officer for Type 1, Type 2, and Type 9 regulated activities.

Ensure all business operations strictly comply with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, Fit and Proper Guidelines, and relevant statutory requirements.

Formulate, review, and maintain comprehensive compliance manuals, AML/CTF workflows, KYC/CDD protocols, and internal operational policies.

Supervise and oversee day-to-day securities dealing, margin financing, futures/derivatives execution, and fund/discretionary portfolio management.

Lead the Middle and Front Office teams to ensure efficient trade booking, clearing, settlement, and asset custody workflows.

Monitor market risk, credit risk, counterparty risk, and liquidity risk across dealing and fund management operations.

Drive system enhancements, trading platform implementations, and connectivity testing with HKEX/clearing counterparties.

Supervise licensed representatives, conduct internal training, and ensure staff adhere to regulatory and code of conduct standards.

Qualifications & Requirements

License Requirement: Currently or previously approved by the SFC as a Responsible Officer (RO) for Type 1, Type 2, and Type 9 regulated activities (unconditional / Sole RO preferred).

Experience: Minimum 8-10 years of solid experience in securities brokerage, futures trading, or asset management, including at least 3 years of proven supervisory/management track record.

Regulatory Knowledge: In-depth knowledge of the SFO, SFC regulations, HKEX rules, AML/CTF guidelines, and fund administration standards.

Education & Credentials: Bachelor's degree in Finance, Economics, Business Administration, Law, or a related discipline. HKSI LE qualifications or equivalent recognized exemptions.

Market & Platform Expertise: Familiarity with order execution systems, trading platforms (e.g., Bloomberg, trading OMS/EMS), clearing mechanisms, and global financial markets.

Language Skills: Excellent command of written and spoken English and Chinese (Cantonese and/or Mandarin).

Core Competencies: High integrity, decisive leadership, strong risk mindset, and exceptional communication and stakeholder management skills.