Securities RO & Institutional Client Lead

UNAL Asset Trading(Hong Kong) Co.,Ltd; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

UNAL Asset Trading(Hong Kong) Co.,Ltd is seeking a Responsible Officer to oversee Type 1 and Type 4 regulated activities. The role ensures daily operations meet SFC, HKEX and internal policies, with a focus on KYC and licensed activities.

The successful candidate will lead regulatory compliance efforts, develop manuals, and drive business expansion while maintaining strong relationships with institutional clients and providing investment solutions.

Qualifications

• University graduates in business related disciplines.
• Currently or recently approved by the SFC as a Responsible Officer for Type 1 and Type 4 regulated activities.
• At least 5 years in the regulated financial services industry in Hong Kong, including 3+ years in RO or equivalent management.
• Deep understanding of the SFC framework, SFO, and Code of Conduct; AML/KYC familiarity.
• Strong compliance mindset and ability to liaise with regulatory bodies.
• Must satisfy SFC fit-and-proper requirements with no adverse history.
• Excellent written and spoken English, Cantonese and Mandarin.
• Immediate availability is advantageous.

Responsibilities

• Serve as the Responsible Officer for Type 1 and Type 4 activities; oversee daily operations.
• Ensure compliance with SFC regulations and internal policies on KYC and licensed activities.
• Develop, review and update operational manuals for regulatory compliance.
• Participate in formulating business development strategies and drive product development.
• Lead and arrange coverage of institutional clients (banks, funds, corporate treasuries).
• Develop and maintain strong relationships with institutional clients.
• Provide investment solutions and advice on bonds, gold, and CD products.
• Coordinate with clients on trading, settlement, and custody arrangements.
• Ensure platform operations comply with regulatory and internal requirements.
• Participate in platform testing, implementation, and ongoing maintenance.

Skills

Regulatory compliance

Risk management

Regulatory affairs

SFC rules

Education

Business degree

Job description

UNAL Asset Trading(Hong Kong) Co.,Ltd is seeking a Responsible Officer to oversee Type 1 and Type 4 regulated activities. The role ensures daily operations meet SFC, HKEX and internal policies, with a focus on KYC and licensed activities.

The successful candidate will lead regulatory compliance efforts, develop manuals, and drive business expansion while maintaining strong relationships with institutional clients and providing investment solutions.