Senior RO – Institutional Trading & Compliance

Webull; Hong Kong; On-site; HKD 900,000 - 1,400,000; Full time

Benefits offered by this job

Competitive remuneration package

Job summary

Webull is seeking an Assistant Director - CS and Dealing to act as the SFC-approved Responsible Officer and oversee the firm’s regulated securities businesses in Hong Kong. The role focuses on institutional client business, compliance with SFO/SFC rules and HKEX requirements, and regulatory liaison.

You will supervise Type 1 and Type 2 activities, oversee order execution, client services and post-trade support, and drive risk controls and regulatory reporting.

Qualifications

• Degree holder in Business or related disciplines.
• Qualified for Type 1 and Type 2 Responsible Officer of SFC (Type 3, Type 4 or Type 9 is an advantage).
• Minimum 5 years institutional brokerage experience at Hong Kong licensed securities houses.
• Solid command of SFO, SFC circulars, HKEX trading rules, AML and institutional compliance frameworks.
• Fluent written & spoken English and Cantonese; Mandarin proficiency required.

Responsibilities

• Act as designated RO for Type 1 & Type 2 regulated activities; independently supervise all institutional securities business to eliminate material regulatory breaches and fulfil SFO statutory duties.
• Oversee institutional order execution, margin financing, client account administration and post-trade support; streamline workflows to lift service efficiency and client satisfaction.
• Be point of contact for SFC, HKEX and regulators for enquiries, inspections, filings and interviews; coordinate onsite audits and submit timely, accurate regulatory reports & remedial action plans.
• Lead institutional product rollouts, trading system upgrades and process optimisation; conduct market research, propose operational enhancements and complete ad-hoc management & regulatory projects.
• Organize regular regulatory compliance training for institutional team members, strengthen team’s regulatory awareness and professional capability; monitor daily operational risks, rectify irregular operational behaviors in a timely manner.

Skills

Regulatory supervision

Cross-department coordination

Risk mindset

Communication

Bilingual English/Cantonese

Education

Bachelor's degree in Business or related disciplines

Job description

Webull is seeking an Assistant Director - CS and Dealing to act as the SFC-approved Responsible Officer and oversee the firm’s regulated securities businesses in Hong Kong. The role focuses on institutional client business, compliance with SFO/SFC rules and HKEX requirements, and regulatory liaison.

You will supervise Type 1 and Type 2 activities, oversee order execution, client services and post-trade support, and drive risk controls and regulatory reporting.