Senior Responsible Officer - Institutional Securities

WilliamSELECT; Hong Kong; On-site; HKD 1,200,000 - 2,600,000; Full time

Job summary

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to provide senior oversight of its institutional securities business. The role focuses on regulatory supervision, governance and operational risk within a growing platform.

The successful candidate will partner with senior management, compliance, operations and technology to ensure robust controls, drive regulatory examinations and implement cross-functional initiatives.

Qualifications

• Currently approved, or recently approved, by the SFC as a Responsible Officer for Type 1 and Type 2 regulated activities
• At least 5 years of relevant experience in institutional brokerage, securities dealing, futures or similar regulated business
• Strong understanding of the Securities and Futures Ordinance, SFC requirements, HKEX rules, AML/CTF obligations and institutional brokerage controls
• Practical experience supervising institutional trading, client servicing, dealing, operations or related regulated activities
• Demonstrated ability to manage regulatory reviews, operational incidents, control enhancements and cross-functional projects
• Strong understanding of governance, risk management, internal controls and regulatory reporting
• SFC fit-and-proper requirements with no adverse regulatory history
• Excellent written and spoken English and Cantonese
• Strong communication, leadership, negotiation and stakeholder-management skills

Responsibilities

• Act as an SFC-approved Responsible Officer for the firm's Type 1 and Type 2 regulated activities
• Oversee the firm's institutional securities and brokerage operations in accordance with the SFO, SFC requirements and HKEX rules
• Supervise the day-to-day conduct of regulated activities and ensure controls, procedures and escalation mechanisms are in place
• Provide guidance on regulatory matters, business practices, client onboarding, trading activities and operational risk
• Support regulatory examinations, inspections, enquiries and ongoing communications with the SFC and HKEX
• Monitor regulatory developments and translate new requirements into practical policies and controls
• Provide senior oversight of institutional trading, execution, client servicing, market access and related brokerage activities
• Review and enhance supervisory procedures covering order handling, trade execution, client communications, market conduct and conflicts of interest
• Work with front-office and operations teams to identify, investigate and resolve control issues
• Lead governance initiatives to support compliant growth

Skills

Regulatory leadership

Governance

Stakeholder management

Communication

Risk management

English & Cantonese

Education

Bachelor's degree in finance/economics/business/law

SFC-approved Responsible Officer

Tools

SFC RO process

Job description

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to provide senior oversight of its institutional securities business. The role focuses on regulatory supervision, governance and operational risk within a growing platform.

The successful candidate will partner with senior management, compliance, operations and technology to ensure robust controls, drive regulatory examinations and implement cross-functional initiatives.