Senior RO & Director - Regulated Markets Oversight

Riche Bright Securities Limited; Hong Kong; Presencial; HKD 1 200 000 - 2 000 000; Tempo integral

Resumo da oferta

Riche Bright Securities Limited in Hong Kong seeks an experienced Responsible Officer (RO) approved for SFC Type 1, 4, and 9 activities to serve as Director and Oversight (OMO). The role provides strategic leadership and daily supervision of dealing, fund management, risk, and settlement operations.

The candidate must hold a bachelor’s degree or higher with at least five years in SFC-regulated institutions and a proven RO track record, plus deep knowledge of SFO/SFC rules; Mandarin and Cantonese

Qualificações

• Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
• Minimum 5 years in SFC-regulated institutions with at least 3–5 years as an active SFC RO (Type 1, 4, 9).
• Deep knowledge of the Securities and Futures Ordinance (SFO), AML/CFT regulations, and SFC guidelines.
• Knowledge of products such as HK stock, US stock; LPF/Cayman Fund; TCSP and TRS experience is advantageous.
• Strong leadership, strategic planning, and risk management capabilities.

Responsabilidades

• Oversee dealing, fund management, risk management, and settlement operations.
• Provide strategic leadership and daily supervision over regulated activities.
• Ensure strict compliance with SFO, SFC Codes of Conduct, AML/CFT policies, and ongoing compliance protocols.

Conhecimentos

Leadership

Regulatory compliance

SFC RO duties

Risk management

Team mentoring

Formação académica

Bachelor's degree or above in Finance, Economics, Business Admin or related

Descrição da oferta de emprego

Riche Bright Securities Limited in Hong Kong seeks an experienced Responsible Officer (RO) approved for SFC Type 1, 4, and 9 activities to serve as Director and Oversight (OMO). The role provides strategic leadership and daily supervision of dealing, fund management, risk, and settlement operations.

The candidate must hold a bachelor’s degree or higher with at least five years in SFC-regulated institutions and a proven RO track record, plus deep knowledge of SFO/SFC rules; Mandarin and Cantonese