Responsible Officer (Type 1 & 2)

Imagi Brokerage Limited; Hong Kong; On-site; HKD 600,000 - 1,200,000; Full time

Job summary

Imagi Brokerage Limited is seeking a Responsible Officer to oversee daily operations in full compliance with SFC regulatory requirements. The role includes active involvement in HK equities trading, trade execution, order monitoring and client order handling.

You will lead internal controls, risk management measures and compliance procedures, supervise audits and report key findings and recommendations to the Board.

Qualifications

• Bachelor degree in Finance, Investment or related discipline.
• Minimum 2 years of senior management experience in financial institutions or brokerage.
• Unconditional Responsible Officer license for Type 1 and Type 2 activities.
• Strong hands-on experience in Type 1 equity trade execution and Type 2 futures.
• Solid understanding of brokerage operations, risk controls, and back/middle office.
• Proficient in written and spoken English and Chinese.
• Immediate availability preferred.

Responsibilities

• Act as a Responsible Officer to oversee daily operations in full compliance with SFC regulatory requirements.
• Oversee HK equities trading operations, with active involvement in trade execution, order monitoring, and client order handling.
• Ensure effective implementation of internal controls, risk management measures and compliance procedures.
• Lead audit processes and report key findings and recommendations to the Board.
• Assist in ad-hoc assignments as required.

Skills

RO license Type1/Type2

Equity trade execution

Risk controls

English & Chinese proficiency

Immediate availability

Senior management experience

Education

Bachelor's degree in Finance/Investment or related

Job description

Responsible Officer to oversee daily operations in full compliance with SFC regulatory requirements, with active involvement in HK equities trading operations, trade execution, order monitoring, and client order handling.

Key responsibilities

• Act as a Responsible Officer to oversee daily operations in full compliance with SFC regulatory requirements
• Oversee HK equities trading operations, with active involvement in trade execution, order monitoring, and client order handling
• Ensure effective implementation of internal controls, risk management measures, and compliance procedures
• Lead audit processes and report key findings and recommendations to the Board
• Assist in ad-hoc assignments upon required

About you

• Bachelor degree holder or above in Finance, Investment, or a related discipline
• Minimum 2 years of senior management experience in financial institutions or brokerage firm
• Holder of an unconditional Responsible Officer license for Type 1 and Type 2 regulated activities
• Strong hands-on experience in Type 1 equity trade execution and with experience in Type 2 (futures) activities
• Solid understanding of brokerage operations, including middle- and back-office functions and risk controls
• Proficient in written and spoken English and Chinese
• Immediate available is highly preferred