Senior Institutional Trading Operations & Compliance Lead

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

Job summary

PeopleSearch Ltd seeks an experienced Responsible Officer for overseeing the firm's Type 1 and Type 2 regulated activities in Hong Kong. The role leads day-to-day institutional operations, ensures robust risk and compliance controls, and serves as the main contact for SFC and HKEX.

You will be qualified to act as SFC RO for Type 1 and 2, with minimum 7 years HK brokerage experience and deep knowledge of SFO/SFC HKEX rules and AML controls.

Qualifications

• Qualified to act as SFC RO for Type 1 and Type 2.
• Minimum 7 years Hong Kong brokerage experience.
• Solid understanding of SFO / SFC circulars / HKEX rules / AML & compliance controls.
• Fluent English, Cantonese and Mandarin.

Responsibilities

• Oversee institutional brokerage operations to ensure compliance with SFO, SFC rules, HKEX requirements and internal policies.
• Act as the designated RO for Type 1 & Type 2 and provide independent regulatory supervision.
• Manage institutional controls covering client servicing, execution flow, post-trade support, and account administration.
• Lead regulator liaison, including inquiries, inspections, filings, interviews and remediation follow-up.
• Maintain and update institutional SOPs / risk frameworks in coordination with Compliance & Risk teams.
• Drive operational improvements and support institutional system/process upgrades.
• Support staff training on regulatory requirements and operational discipline.

Skills

HK brokerage experience

English (fluent)

Cantonese (fluent)

Mandarin (fluent)

Leadership / institutional operations

Job description

PeopleSearch Ltd seeks an experienced Responsible Officer for overseeing the firm's Type 1 and Type 2 regulated activities in Hong Kong. The role leads day-to-day institutional operations, ensures robust risk and compliance controls, and serves as the main contact for SFC and HKEX.

You will be qualified to act as SFC RO for Type 1 and 2, with minimum 7 years HK brokerage experience and deep knowledge of SFO/SFC HKEX rules and AML controls.