Senior Responsible Officer (RO) - Type 1 & 4 Compliance

Ruibang Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Ruibang Securities Limited, based in Hong Kong, seeks a qualified Responsible Officer (RO) to oversee the firm's securities trading activities and ensure regulatory compliance.

The RO will supervise Type 1 and Type 4 operations, review client accounts and transactions, provide strategic guidance, and collaborate with other departments to mitigate risks while keeping abreast of regulatory changes. English, Cantonese and Mandarin proficiency is essential for leadership and external interactions.

Qualifications

• Hold valid Type 1 and Type 4 RO licenses issued by the SFC.
• Strong understanding of securities trading regulations and compliance requirements.
• Proficient in written and verbal communication in English, Cantonese and Mandarin.
• Ability to work independently and lead a team effectively.

Responsibilities

• Oversee and manage the firm's Type 1 and Type 4 operations.
• Ensure the firm's compliance with all applicable regulations and internal policies.
• Review and approve client account openings, transactions and client communications.
• Provide strategic guidance and support to the team.
• Collaborate with other departments to identify and mitigate potential risks.
• Stay up-to-date with industry developments and regulatory changes.
• Represent the firm in dealings with regulatory authorities.
• Experience in ECM/IPO/Placing activities and FINI operations is an advantage.

Education

Type 1 RO license

Type 4 RO license

Job description

Ruibang Securities Limited, based in Hong Kong, seeks a qualified Responsible Officer (RO) to oversee the firm's securities trading activities and ensure regulatory compliance.

The RO will supervise Type 1 and Type 4 operations, review client accounts and transactions, provide strategic guidance, and collaborate with other departments to mitigate risks while keeping abreast of regulatory changes. English, Cantonese and Mandarin proficiency is essential for leadership and external interactions.