Senior Responsible Officer - VA Uplift & Regulated Trading

Aden Financial Holdings LTD; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Job summary

Aden Financial Holdings LTD is seeking a seasoned RO to oversee Type 1 (securities dealing) with VA uplift, Type 2 (futures), and Type 9 (asset management) activities in Hong Kong. The role requires SFC approval, HKSI licensing, and 8–10 years in securities/OTC/futures or asset management.

You will implement compliance manuals, AML/CFT workflows, and KYC/CDD protocols, while monitoring trading, credit, and liquidity risks. Strong English and Chinese are essential.

Qualifications

• Currently or previously approved by the SFC as an RO for Type 1, 2 and 9.
• Unconditional / sole RO status strongly preferred.
• Willing to support the firm’s Type 1 licence uplift to VA activities.
• Must hold (or obtain) HKSI licensing qualifications and VA training courses.
• Minimum 8–10 years of solid experience in securities brokerage, OTC, futures, and/or asset management.

Responsibilities

• Act as the SFC-approved RO for Type 1 (with VA uplift), Type 2, and Type 9 regulated activities.
• Ensure operations comply with SFO, SFC Codes of Conduct, Fit and Proper Guidelines, and VA-related guidelines.
• Formulate and maintain compliance manuals, AML/CFT workflows, and KYC/CDD protocols.
• Monitor market, credit, counterparty, and liquidity risk across dealing and fund management.
• Liaise with SFC on licensing matters and RO changes, including VA uplift applications.

Skills

SFC RO approval

Regulatory compliance

HKSI licensing

English & Chinese

Education

Bachelor's degree in Finance/Economics/Business Admin/Law

Job description

Aden Financial Holdings LTD is seeking a seasoned RO to oversee Type 1 (securities dealing) with VA uplift, Type 2 (futures), and Type 9 (asset management) activities in Hong Kong. The role requires SFC approval, HKSI licensing, and 8–10 years in securities/OTC/futures or asset management.

You will implement compliance manuals, AML/CFT workflows, and KYC/CDD protocols, while monitoring trading, credit, and liquidity risks. Strong English and Chinese are essential.