Senior Responsible Officer, Institutional Securities

Webull Securities Limited; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

Webull Securities Limited is seeking an SFC-approved Responsible Officer to oversee its institutional securities business, ensuring full compliance with SFO, SFC, and HKEX rules. You will supervise regulatory duties, oversight of institutional operations, and lead system upgrades and governance initiatives to support compliant growth.

You should have 5+ years in institutional brokerage, RO qualifications for Type 1/2, and strong English/Cantonese communication, with Mandarin a plus.

Qualifications

• Minimum 5 years institutional brokerage experience at HK licensed securities houses.
• Qualified for Type 1 and Type 2 RO of SFC; Type 3/4/9 is an advantage.
• Solid command of SFO, SFC circulars, HKEX trading rules, AML and institutional compliance.
• Fluent written & spoken English and Cantonese; Mandarin proficiency required.
• Able to manage regulatory inspections and operational crises under tight deadlines.
• Strong communication, negotiation and cross-department coordination.
• Meet SFC fit-and-proper criteria with no adverse regulatory records.
• Degree holder in Business or related disciplines.

Responsibilities

• Regulatory Supervision Duties: Act as RO for Type 1 & Type 2 activities and supervise institutional business.
• Institutional Business Operation Oversight: oversee order execution, margin financing and client accounts; improve efficiency and service.
• Regulatory Liaison: be contact for SFC/HKEX; coordinate inspections and filings; implement remedial actions.
• Business Project & System Upgrade: lead product rollouts, trading system upgrades and process improvements.
• Business Training & Internal Governance: deliver regulatory training and monitor daily operational risks.

Skills

Regulatory Oversight

SFC Rules

HKEX Rules

Institutional Trading

Client Servicing

Risk Management

Regulatory Liaison

Cross-Dept Coordination

English & Cantonese

Education

Bachelor's Degree in Business or related disciplines

Job description

Webull Securities Limited is seeking an SFC-approved Responsible Officer to oversee its institutional securities business, ensuring full compliance with SFO, SFC, and HKEX rules. You will supervise regulatory duties, oversight of institutional operations, and lead system upgrades and governance initiatives to support compliant growth.

You should have 5+ years in institutional brokerage, RO qualifications for Type 1/2, and strong English/Cantonese communication, with Mandarin a plus.