Senior Responsible Officer (RO) – Type 1, 4, 9 (Executive Director / MIC)

HC Securities (HK) Limited; Hong Kong; On-site; HKD 480,000 - 720,000; Full time

Job summary

HC Securities (HK) Limited seeks a Senior Responsible Officer (RO) – Type 1, 4, 9 (Executive Director / MIC) to act as the approved RO and MIC for overseeing the firm’s regulated activities. You will provide strategic leadership and supervise dealing, fund management, investment advisory, and risk management.

You will formulate and refine internal controls, lead regulatory communications, and counsel senior management on regulatory developments and growth opportunities.

Qualifications

• Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
• Minimum 7+ years of experience in SFC-regulated financial institutions, with at least 3–5 years as an active SFC Type 1, 4, and 9 RO.
• Candidates with less experience but strong technical competency may be considered for RO position.

Responsibilities

• Act as Type 1, 4, and 9 Responsible Officer approved by the SFC and serve as MIC to oversee regulated activities.
• Provide strategic leadership and daily supervision over dealing, portfolio/fund management, investment advisory, risk management, and settlement operations.
• Formulate, review, and enhance internal control systems, operational workflows, and risk management policies for compliance with SFC codes and guidelines.
• Lead regulatory communication, including handling SFC inquiries, audits, inspections, and ongoing reporting obligations.
• Advise senior management/Board on market trends, regulatory updates, and business expansion opportunities.

Skills

Leadership

Regulatory compliance

Regulatory communication

Risk management

Education

Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines

7+ years in SFC-regulated financial institutions

3–5 years as active SFC Type 1/4/9 RO

Job description

Senior Responsible Officer (RO) – Type 1, 4, 9 (Executive Director / MIC)

Act as Type 1, 4, and 9 Responsible Officer (RO) approved by the SFC, and serve as Manager-in-Charge (MIC) to oversee the firm’s regulated activities.

Provide strategic leadership and daily supervision over dealing, portfolio/fund management, investment advisory, risk management, and settlement operations.

Formulate, review, and enhance internal control systems, operational workflows, and risk management policies to ensure strict compliance with SFC codes and guidelines.

Lead regulatory communication, including handling SFC enquiries, audits, inspections, and ongoing reporting obligations.

Advise senior management/Board on market trends, regulatory updates, and business expansion opportunities.

Requirements:

Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.

Minimum 7+ years of solid experience in SFC-regulated financial institutions, with at least 3–5 years of proven track record as an active SFC Type 1, 4, and 9 RO.

Candidates with less experience but demonstrating strong technical competency and qualified under SFC requirements may be considered for Responsible Officer position.

Clean regulatory track record with the SFC.

Deep knowledge of the Securities and Futures Ordinance (SFO), Anti-Money Laundering (AML) regulations, and SFC guidelines.

Strong leadership, strategic planning, and risk management capabilities.

Native/Fluent in Mandarin and Cantonese, with excellent command of written and spoken English.