Responsible Officer (Type 1 and 4)

Leadingnation; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Leadingnation in Hong Kong is seeking an experienced Responsible Officer to independently oversee our SFC Type 1 and Type 4 regulated activities. You will lead ongoing compliance, licensing readiness, and regulatory liaison to ensure strict adherence to SFC rules.

The role requires hands-on oversight of trading operations, AML/CFT controls, and post-licensing delivery, with a focus on robust risk management and timely responses to regulator inquiries.

Qualifications

• Minimum 3 years hands-on experience in securities dealing, KYC/AML, order execution, and regulatory reporting.
• Deep knowledge of SFC Type 1 and Type 4 regulatory requirements and circulars.
• Experience leading licensing projects, including SFC uplift applications.
• Strong risk management and internal controls awareness.
• Excellent liaison skills with regulators and internal stakeholders.

Responsibilities

• Independently manage SFC Type 1 and 4 securities dealing and brokerage activities.
• Develop and enforce AML/CFT, Travel Rule, sanctions screening, and monitoring programs.
• Lead the SFC Type 1 VA Dealing uplift licensing project; prepare documents and respond to queries.
• Coordinate post-licensing implementation, remediation, and regulatory condition fulfilment.
• Act as primary point of contact for SFC inspections, onsite reviews, and inquiries.

Skills

Regulatory oversight

Compliance management

AML/CFT

Licensing projects

Regulatory liaison

Job description

• Post-Licensing Execution
• Min. 3 yrs of practical, hands-on exp
• Regulatory Liaison: Serve as the primary point

We are seeking an experienced and compliance-driven Responsible Officer (RO) to independently oversee our SFC Type 1 and 4 regulated activities.

Key Responsibilities:

• Regulatory Oversight: Independently manage and supervise all ongoing SFC Type 1 and 4 securities dealing and brokerage activities, ensuring full alignment with SFC ordinances and circulars.


• Compliance & Risk Management: Monitor daily business conduct to proactively identify regulatory gaps and enforce robust compliance frameworks across front-office trading, client dealing, and operations.


• AML/CFT Frameworks: Maintain and enhance rigorous AML/CFT, Travel Rule, sanctions screening, and transaction monitoring systems for both traditional and virtual asset businesses.


• Licensing & Applications: Lead the execution of the firm’s SFC Type 1 VA Dealing Uplift application; prepare comprehensive licensing documentation, respond to SFC queries, and coordinate review procedures.


• Post-Licensing Execution: Support post-licensing implementation, including gap remediation and the fulfilment of regulatory conditions.


• Regulatory Liaison: Serve as the primary point of contact for SFC inspections, onsite reviews, regulatory enquiries, and supervisory meetings.

Key Requirements:

• Hold current or previously approved unconditioned SFC Type 1and 4 Responsible Officer status.


• Minimum 3 years of practical, hands-on experience in securities dealing operations, KYC/AML, order execution, settlement, licensed staff supervision, internal controls, and regulatory reporting.


• Solid understanding of both traditional brokerage compliance and emerging virtual asset regulatory regimes.

We are an equal opportunity employer and welcome applications from all qualified candidates.