Responsible Officer (Type 1) – HK$40K–60K/month - 20261020A

悖論管理有限公司; Hong Kong; On-site; HKD 446,000 - 670,000; Full time

Job summary

悖論管理有限公司 seeks an experienced Responsible Officer for Type 1 in Hong Kong to supervise the brokerage business and regulatory compliance. The RO will oversee US/HK equity trading, bonds, FCN, ELI and fund distribution, with an immediate start and no direct reports.

A strong regulatory track record and SFC-approved RO status are essential. The role emphasizes supervision and governance over sales, with potential commission only for self-sourced business.

Qualifications

• Existing SFC-approved Responsible Officer for Type 1 (Dealing in Securities).
• At least 5 years of Hong Kong securities brokerage experience, with 3+ years as RO or in a Type 1 supervisory role.

Responsibilities

• Act as the SFC-approved RO for Type 1 and supervise brokerage operations.
• Oversee dealing activity across US/HK equities, bonds, FCN, ELI and fund distribution.
• Approve order handling, best execution, and upstream broker relations.
• Oversee client onboarding, KYC/AML/CFT, risk profiling and suitability for products.
• Review product due diligence for new products or funds.
• Design and supervise, if/when launched, margin financing program.
• Monitor FRR compliance and manage monthly FRR Returns.

Skills

SFC Type 1 RO

US/HK equities

Bonds/FCN/ELI

FRR knowledge

Regulatory compliance

Bilingual CN/EN

Education

SFC-approved RO

Job description

Responsible Officer (Type 1) – HK$40K–60K/month - 20261020A

About the role: Our client, an SFC‑licensed corporation carrying on Type 1 (dealing in securities), Type 4 (advising on securities) and Type 9 (asset management) regulated activities in Hong Kong, is hiring a Responsible Officer for Type 1 to replace its outgoing RO, with an immediate start.

The company is the brokerage and asset management arm of a privately held Hong Kong financial group; an affiliated company of the group also carries on insurance brokerage and wealth management businesses. The company’s funds are managed in‑house by its Type 9 asset management team, spanning fixed income and other strategies, and offered to clients.

The RO reports to the group’s founder, who is the MIC‑OMO.

The business is execution brokerage and product distribution for private clients: US and Hong Kong equities executed through Valuable Capital (華盛證券) as upstream broker on the Longbridge trading system, bonds, Fixed Coupon Notes (FCN), Equity‑Linked Investments (ELI) and fund distribution — primarily funds managed by the company’s Type 9 asset management team, distributed through the Type 1 securities app. Margin financing is not yet offered; a launch around Q2 2027 is being considered but is not confirmed, and the RO would supervise it if it goes ahead.

This is a supervisory and compliance‑ownership role, not a sales role. The RO is not required to bring clients; where the RO does introduce business, a commission is paid on top of base salary. The outgoing RO will stay on to hand over and guide the new RO through the company’s operations. The role has no direct reports; other staff support the RO’s work.

The company also engages an external compliance firm that supports management accounts preparation, FRR return preparation, HR matters, policy and procedure reviews, regulatory liaison and related work. Parts of the RO’s responsibilities can be carried out with the compliance firm’s assistance, with the RO retaining supervision, review and sign‑off.

Key Responsibilities

• Act as the SFC‑approved Responsible Officer for Type 1 (Dealing in Securities) and take direct responsibility for the conduct of the brokerage business.


• Supervise all dealing activity: US and Hong Kong equities via Valuable Capital on the Longbridge system, bonds, FCN, ELI and fund distribution, primarily funds managed by the company’s Type 9 asset management team.


• Approve and monitor order handling, best execution, allocation and error‑trade procedures, including the upstream broker relationships.


• Oversee client onboarding, KYC/AML/CFT, risk profiling and suitability for structured products (FCN/ELI), bonds and funds.


• Review and sign off product due diligence for each new product or fund added to the shelf.

Margin financing (if and when launched)

• Design and supervise the securities margin financing programme: credit policy, margin ratios, concentration limits, margin call and forced liquidation procedures, and client agreements.


• Ensure margin lending complies with the SFC’s Guidelines for Securities Margin Financing Activity and the Client Securities and Client Money Rules.

Financial Resources Rules (FRR) and management accounts

• Monitor the company’s liquid capital position under the FRR on a daily basis against the required minimum, and elevate to the MIC‑OMO on any breach or early‑warning trigger.


• Review and sign off the monthly FRR return prepared by the external compliance firm: liquid capital computation, haircuts on securities and structured‑product positions, treatment of amounts receivable from clients and upstream brokers, and margin‑client exposures once margin launches.


• Review the monthly management accounts prepared by the external compliance firm and flag anomalies to management.

Compliance and governance

• Maintain and update the compliance manual, operating procedures and internal controls for the Type 1 business, with support from the external compliance firm.


• Act as the primary contact with the SFC for the Type 1 activity, including inspections, enquiries and licensing filings, assisted by the external compliance firm on regulatory liaison where appropriate.


• Prepare for and respond to SFC inspections and external audits; track and close remediation items.


• Supervise licensed representatives: training, CPT records, dealing‑conduct reviews and staff dealing.


• Handle client complaints and report notifiable matters to the SFC within the required timelines.


• Report regularly to the board and the MICs on business conduct, risk and regulatory matters.

Business support and administration

• Support the group’s business performance management for the brokerage: track business and performance metrics, contribute to performance reviews and management reporting.


• Handle or coordinate local administrative matters of the Hong Kong office as required.


• Work with the operations and finance teams on settlement, client asset reconciliations and record keeping.


• Optional: introduce clients or business; commission is paid on self‑sourced revenue.

Requirements

Existing SFC‑approved Responsible Officer for Type 1 (Dealing in Securities)

At least 5 years of Hong Kong securities brokerage experience, of which 3 or more as an RO or in a Type 1 supervisory role at a licensed corporation

Hands‑on experience dealing in US equities, Hong Kong equities, bonds, FCN, ELI, and fund distribution, including suitability and product due diligence for structured products

Solid working knowledge of Financial Resources Rules (FRR) to monitor daily liquid capital and review monthly FRR returns and management accounts

Experience running or supervising securities margin financing at a Type 1 licensed corporation

Experience managing upstream executing broker relationships and related settlement/reconciliation flows

Clean regulatory record with no disciplinary actions, undischarged conditions, or pending SFC matters

Fluent in both Mandarin and Cantonese, with the ability to read and prepare English documents

Type 9 (Asset Management) or Type 4 (Advising on Securities) experience or RO status preferred

Experience in a small or start‑up licensed corporation preferred

Familiarity with Longbridge trading system and Valuable Capital as executing broker preferred

Experience handling SFC inspections and licensing applications preferred

Willingness and capability to act as MIC for one or more core functions preferred