Responsible Officer (Type 1 Uplift – VA, Type 2 & Type 9)

Aden Financial Holdings LTD; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Job summary

Aden Financial Holdings LTD is seeking a seasoned RO to oversee Type 1 (securities dealing) with VA uplift, Type 2 (futures), and Type 9 (asset management) activities in Hong Kong. The role requires SFC approval, HKSI licensing, and 8–10 years in securities/OTC/futures or asset management.

You will implement compliance manuals, AML/CFT workflows, and KYC/CDD protocols, while monitoring trading, credit, and liquidity risks. Strong English and Chinese are essential.

Qualifications

• Currently or previously approved by the SFC as an RO for Type 1, 2 and 9.
• Unconditional / sole RO status strongly preferred.
• Willing to support the firm’s Type 1 licence uplift to VA activities.
• Must hold (or obtain) HKSI licensing qualifications and VA training courses.
• Minimum 8–10 years of solid experience in securities brokerage, OTC, futures, and/or asset management.

Responsibilities

• Act as the SFC-approved RO for Type 1 (with VA uplift), Type 2, and Type 9 regulated activities.
• Ensure operations comply with SFO, SFC Codes of Conduct, Fit and Proper Guidelines, and VA-related guidelines.
• Formulate and maintain compliance manuals, AML/CFT workflows, and KYC/CDD protocols.
• Monitor market, credit, counterparty, and liquidity risk across dealing and fund management.
• Liaise with SFC on licensing matters and RO changes, including VA uplift applications.

Skills

SFC RO approval

Regulatory compliance

HKSI licensing

English & Chinese

Education

Bachelor's degree in Finance/Economics/Business Admin/Law

Job description

Responsible Officer (Type 1 Uplift – VA, Type 2 & Type 9)

Act as the SFC-approved Responsible Officer (RO) for Type 1 (securities dealing) with uplift to virtual asset (VA) activities, Type 2 (dealing in futures contracts), and Type 9 (asset management) regulated activities

Ensure all business operations strictly comply with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, Fit and Proper Guidelines, and all relevant statutory and regulatory requirements, including SFC’s VA-related circulars and guidelines.sw-hk+1

Formulate, review, and maintain comprehensive compliance manuals, AML/CFT workflows, KYC/CDD protocols, and internal operational policies covering securities, futures, fund management, and virtual asset trading/custody activities.license.aiying+1

Monitor market risk, credit risk, counterparty risk, and liquidity risk across dealing, OTC transactions, and fund management operations, including VA-related exposures where applicable.

Drive system enhancements, trading platform implementations, and connectivity testing with HKEX, clearing houses, prime brokers, custodians, and VA service providers (e.g., custody/wallet infrastructure, on-chain monitoring tools).license.aiying

Serve as a primary liaison with the SFC on licensing matters, including Type 1 VA uplift applications, changes in controlled functions, and regulatory inquiries/inspections.sw-hk+1

Provide senior oversight on OTC securities/derivatives/VA transactions, including pricing, documentation, risk limits, and counterparty onboarding/approval processes.

Qualifications & Requirements

Currently or previously approved by the SFC as a Responsible Officer (RO) for Type 1, Type 2, and Type 9 regulated activities; unconditional / sole RO status strongly preferred.

Must be eligible and willing to support the firm’s Type 1 licence uplift to cover virtual asset (VA) activities and be nominated as an RO for the VA scope.

Required to hold (or be able to obtain) the relevant HKSI Licensing Examination qualifications (e.g. Paper 1, Paper 7, Paper 8, Paper 9 as applicable) and to complete the HKSI‑designated virtual asset training course(s) required for VA uplift

Minimum 8–10 years of solid experience in securities brokerage, OTC products, futures trading, and/or asset management.

Bachelor’s degree or above in Finance, Economics, Business Administration, Law, or a related discipline.

Language Skills: Excellent command of written and spoken English and Chinese (Cantonese and/or Mandarin).