Senior Responsible Officer – SFC Type 1/4 Compliance

Leadingnation; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Leadingnation in Hong Kong is seeking an experienced Responsible Officer to independently oversee our SFC Type 1 and Type 4 regulated activities. You will lead ongoing compliance, licensing readiness, and regulatory liaison to ensure strict adherence to SFC rules.

The role requires hands-on oversight of trading operations, AML/CFT controls, and post-licensing delivery, with a focus on robust risk management and timely responses to regulator inquiries.

Qualifications

• Minimum 3 years hands-on experience in securities dealing, KYC/AML, order execution, and regulatory reporting.
• Deep knowledge of SFC Type 1 and Type 4 regulatory requirements and circulars.
• Experience leading licensing projects, including SFC uplift applications.
• Strong risk management and internal controls awareness.
• Excellent liaison skills with regulators and internal stakeholders.

Responsibilities

• Independently manage SFC Type 1 and 4 securities dealing and brokerage activities.
• Develop and enforce AML/CFT, Travel Rule, sanctions screening, and monitoring programs.
• Lead the SFC Type 1 VA Dealing uplift licensing project; prepare documents and respond to queries.
• Coordinate post-licensing implementation, remediation, and regulatory condition fulfilment.
• Act as primary point of contact for SFC inspections, onsite reviews, and inquiries.

Skills

Regulatory oversight

Compliance management

AML/CFT

Licensing projects

Regulatory liaison

Job description

Leadingnation in Hong Kong is seeking an experienced Responsible Officer to independently oversee our SFC Type 1 and Type 4 regulated activities. You will lead ongoing compliance, licensing readiness, and regulatory liaison to ensure strict adherence to SFC rules.

The role requires hands-on oversight of trading operations, AML/CFT controls, and post-licensing delivery, with a focus on robust risk management and timely responses to regulator inquiries.