Senior Responsible Officer, Securities Compliance

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

Job summary

Tung Yat Securities Limited is seeking an experienced professional to act as the approved Responsible Officer for Type 1, 4 and 9 activities in Hong Kong. You will supervise securities dealing, advisory and asset-management conduct and oversee ongoing post-licensing obligations with the SFC.

The role requires strong knowledge of the SFO and Code of Conduct, with 3+ years of hands-on experience in regulated activities, and a proven track record in internal controls and regulator liaison.

Qualifications

• Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1, 4 and 9.
• Minimum 3 years of relevant hands-on experience in securities dealing, securities advisory, asset management or related regulated activities.
• Proven track record of supervising regulated activities and liaising with the SFC.
• Sound knowledge of the Securities and Futures Ordinance, SFC Code of Conduct and requirements for licensed corporations.

Responsibilities

• Act as the approved Responsible Officer for Type 1/4/9 regulated activities and supervise conduct of securities dealing, advisory and asset-management businesses.
• Oversee licence maintenance, variation, annual returns and post-licensing obligations to the SFC.
• Establish, review and update compliance manuals, internal control policies and risk-management frameworks.
• Monitor day-to-day activities including KYC/CDD/EDD, AML/CFT, client protection and portfolio management.
• Conduct periodic compliance reviews, risk assessments and remediation; mitigate compliance risks.
• Ensure Licensed Representatives comply with SFC requirements and internal policies.
• Serve as primary point-of-contact with SFC and other regulators.
• Prepare, review and submit regulatory notifications, returns and disclosures on time.
• Respond to SFC queries and inspections; manage remedial actions.

Skills

Regulatory compliance

Risk management

SFC liaison

Supervision experience

English & Mandarin

Internal-control frameworks

Education

Bachelor's degree or above in Finance, Accounting, Law, Economics

Job description

Tung Yat Securities Limited is seeking an experienced professional to act as the approved Responsible Officer for Type 1, 4 and 9 activities in Hong Kong. You will supervise securities dealing, advisory and asset-management conduct and oversee ongoing post-licensing obligations with the SFC.

The role requires strong knowledge of the SFO and Code of Conduct, with 3+ years of hands-on experience in regulated activities, and a proven track record in internal controls and regulator liaison.