Responsible Officer (Type 1, 4)

Cathay Securities (Hong Kong) Limited; Hong Kong; On-site; HKD 1,800,000 - 2,400,000; Full time

Job summary

The candidate should possess a finance or business degree with at least five years in management, including three as RO, and strong English and Chinese communication skills. This is a senior, hands-on leadership position in our Hong Kong office.

Qualifications

• Degree in finance or business related.
• Minimum of 5 years’ solid experience in a management role, with at least 3 years as a Responsible Officer (Type 1).
• Strong leadership and communication skills across all levels of the organization.
• Detail-oriented, analytical, and proactive in problem-solving.
• Proficient in English and Chinese (spoken and written).

Responsibilities

• Act as Responsible Officer for SFC Type 1 and Type 4 activities.
• Lead internal control and risk-management setup for the business.
• Liaise with SFC on licensing matters.
• Oversee trading, settlement, risk control, and client service.
• Manage end-to-end deal flow across equities, fixed income and SN.
• Update operations procedures to ensure regulatory compliance.
• Prepare documentation of policies and procedures.
• Support ad-hoc management tasks.

Skills

Leadership

Regulatory compliance

Risk management

Communication

Multi-tasking

Education

Bachelor's degree in finance or related

Job description

Serve as Responsible Officer for SFC Type 1 and SFC Type 4 regulated activities.

Take lead on setting up internal control and risk management processes, operations and infrastructure of the regulated business

Liaise with SFC on related licensed matters

Oversee business operations including but not limited to trading, settlement, risk control and client service etc;

Lead end-to-end deal flow and transaction execution across diverse asset classes, including equities, fixed-income and SN.

Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements;

Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures;

Ad-hoc duties assigned by the management.

Requirements:

Degree in finance or business related

Minimum of 5 years’ solid experience in a management role, with at least 3 years as a Responsible Officer (Type 1) in the securities industry.

Strong leadership and communication skills, with the ability to collaborate effectively across all levels of the organization.

Detail-oriented, analytical, and proactive in problem-solving.

Ability to multi-task and prioritize multiple work requests and perform well under pressure

Good command in spoken & written English andChinese

Unlock job insights

Hirer responsiveness Salary match Number of applicants

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• How many years' experience do you have as a Responsible Officer?
• What is your highest level of education?
• Do you have customer service experience?
• Which of the following SFC Licenses do you hold?

What can I earn as a Responsible Officer