Responsible Officer (Type 1 and 4)

LianLian; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

LianLian is seeking an experienced Responsible Officer to independently oversee SFC Type 1 and 4 regulated activities and ensure full regulatory alignment in Hong Kong.

The role covers regulatory oversight, licensing, post-licensing execution, AML/CFT controls, and ongoing liaison with the SFC. Candidates should hold RO status and have at least three years in securities dealing, KYC/AML, and related operations.

Qualifications

• Current or previously approved unconditioned SFC Type 1 and 4 RO status.
• Minimum 3 years hands-on experience in securities dealing operations, KYC/AML, order execution, settlement, licensed staff supervision, internal controls, and regulatory reporting.
• Solid understanding of traditional brokerage compliance and emerging virtual asset regulation.

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.

Skills

Regulatory compliance

Securities operations

KYC/AML

Regulatory reporting

Licensing & supervision

Job description

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.