Responsible Officer (Type 1, 2)

Aden Financial Holdings LTD; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Aden Financial Holdings LTD seeks an experienced Responsible Officer to provide senior oversight for regulated activities, ensuring robust compliance across client onboarding, AML/CFT and risk management. The role includes supervising KYC/CDD, EDD, and ongoing vigilance for retail and institutional clients.

Ideal candidate has extensive SFC supervision exposure, strong English/Chinese communication, and proven leadership in compliance programs within securities brokerage or OTC contexts.

Qualifications

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Responsibilities

• Act as the SFC-approved Responsible Officer for Type 1 (Dealing in Securities) and Type 2 (Dealing in Futures Contracts) and other regulated activities, providing senior oversight of the firm's compliance framework.
• Lead and oversee the full client lifecycle including onboarding, KYC/CDD, EDD, source-of-funds verification, ongoing monitoring and periodic reviews.

Skills

Regulatory compliance

AML/CFT expertise

KYC/CDD

Risk management

Client onboarding

Education

Bachelor's degree or above in Finance or related discipline

Tools

KYC/CDD platforms

SFC regulations training

Job description

Act as the SFC-approved Responsible Officer (RO) for Type 1 (Dealing in Securities), Type 2 (Dealing in Futures Contracts) and other applicable regulated activities; provide senior oversight of the firm’s compliance, client onboarding, AML/CFT and risk-management framework.

Lead and oversee the full client lifecycle, including customer service, account opening, KYC/CDD, Enhanced Due Diligence (EDD), source-of-funds/source-of-wealth verification, ongoing monitoring, periodic reviews and account-closure procedures.

Oversee CDD/EDD for retail, professional investor, corporate, trust and high-net-worth clients; ensure appropriate identification, beneficial-owner verification, sanctions and PEP screening, adverse-media checks, risk rating, transaction monitoring and escalation of suspicious activities.

Provide senior oversight of OTC securities, derivatives and VA transactions, including client eligibility, pricing, documentation, risk limits, counterparty onboarding and approval processes.

Lead compliance training for client services, operations, dealing and management teams on AML/CFT, CDD/EDD, VA risks, market-conduct requirements and regulatory developments.

Qualifications & Requirements

Minimum 8-10 years of solid experience in securities brokerage, OTC products, futures trading, asset management, compliance, AML/CFT and/or client onboarding; experience managing CDD/EDD teams is highly desirable.

Bachelor's degree or above in Finance, Economics, Business Administration, Law, Accounting, Compliance or a related discipline.

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

Currently or previously approved by the SFC as a Responsible Officer for Type 1, Type 2 and VA related regulated activities; unconditional or sole RO status is strongly preferred.

Must be eligible and willing to support the firm’s Type 1 licence uplift to cover virtual-asset activities and to be nominated as an RO for the VA scope.

Strong hands-on experience in client onboarding, account opening, KYC/CDD and EDD is essential, preferably within a securities brokerage, futures broker, private bank, asset manager, OTC desk or SFC-licensed VA platform.