Responsible Officer (Type 1 & 4)

Apricot Holding Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Benefits offered by this job

5-day week

Medical insurance

Dental insurance

Job summary

Apricot Holding Limited in Hong Kong seeks a Responsible Officer (RO) to lead business development, client acquisition and liaison with financial institutions. The role requires a HK SFC Type 1, 4 RO license and a strong knowledge of global markets.

You will help Management lift sales through new business models, supervise daily securities operations, and ensure KYC/AML compliance. Travel may be required; a 5-day week with medical and dental insurance is offered.

Qualifications

• HK SFC Type 1 and 4 RO license required.
• Bachelor's degree or above in Business, Finance or related field.
• Proficiency in English, Cantonese and Mandarin.
• Knowledge of HK stock, A share, US stock, custodian, and OTC bond; understanding of global markets and regulations.
• Willingness to travel for work.

Responsibilities

• Develop and cultivate high-net-worth clients; liaise with other financial institutions to expand the client base.
• Assists Senior Management in formulating strategies and new business models to hit sales targets.
• Oversees daily securities business operations ensuring compliance with laws and rules.
• Establishes compliant client account opening, KYC and AML reviews and executes trades per client instructions.
• Fulfills ad-hoc assignments and projects as directed by OMO.

Skills

Analytical skills

Interpersonal communication

Problem-solving abilities

Presentation skills

Networking

Proactive attitude

Service-oriented mindset

Outgoing personality

Education

Bachelor's degree in Business/Finance or related fields

Hong Kong SFC Type 1, 4 Licensed RO

Job description

Responsibilities

• Being responsible for business development, cultivating and acquiring high-net-worth clients to expand the company's client base, liaising with other financial institutions, and actively seeking business opportunities;
• Assisting the Senior Management in formulating business strategies and developing new business models and services to achieve sales targets;
• Managing and supervising the daily operations of the securities business, ensuring compliance with relevant laws, rules and regulations;
• Establishing and improving compliance review mechanisms for client account opening, KYC, and AML to ensure that business recommendations match clients' risk tolerance; executing securities transactions according to client instructions;
• Completing ad-hoc assignments and projects as directed by OMO.

Requirements

• Education: Bachelor's degree or above in Business, Finance or related fields;
• Currently a Hong Kong SFC Type 1, 4 Licensed Responsible Officer with at least 2 years of full-time working experience in a similar role at a securities firm;
• Knowledge of products such as HK stock, A share, US stock, custodian, and OTC bond etc.; understanding of global financial market dynamics and investment products; proficiency in asset management and financial services regulations;
• Relevant industry experience and existing client resources are preferred;
• Language skills: Proficiency in English, Cantonese, and Mandarin for communication and literacy;
• Willingness to travel for work as required;
• Excellent analytical skills, interpersonal communication skills, and problem-solving abilities;
• Strong presentation skills, service-oriented mindset, outgoing personality, proactive attitude, and adept at networking.

Benefits

• We offer attractive remuneration package and fringe benefits including 5-day week, medical and dental insurance to the right candidate.

Location

Central and Western District, HK

Position Title

Responsible Officer (RO)