Senior Securities Compliance and Trading Lead

Ethereal Tech Pte. Ltd.; Hong Kong Island; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

Ethereal Tech Pte. Ltd. seeks a Responsible Officer to oversee the Company’s Type 1 regulated activity (securities dealing) and to drive client onboarding, KYC, and online/mobile trading platforms.

The role covers supervision of client assets, settlements, and regulatory liaison in a fast-paced retail brokerage environment. Ideal candidates will have SFC RO approval, extensive Type 1 experience, and strong Chinese/English communication skills to interact with regulators and stakeholders

Qualifications

• Must have prior approval by the SFC as RO for Type 1 activity.
• At least 3 years of Type 1 securities experience in the last 6 years.
• Hands-on experience with a retail securities brokerage, online trading platform, or mobile trading app.
• Strong knowledge of Hong Kong and U.S. equities, IPOs, and brokerage operations.
• Solid understanding of client asset protection, clearing and settlement, margin financing, and investor protection regulations.
• Excellent written and spoken Chinese and English.

Responsibilities

• Oversee and manage the Company’s day-to-day Type 1 regulated activity (dealing in securities), ensuring full compliance with the requirements of the Hong Kong Securities and Futures Commission (SFC) and other applicable laws and regulations.
• Participate in the setup and development of the Company’s retail securities brokerage business, including client onboarding, KYC, online and mobile trading, order execution, settlement, and client servicing.
• Supervise client assets and client money, margin financing, margin call procedures, and forced liquidation processes.
• Review and enhance business plans, operating procedures, internal control frameworks, and risk management policies.
• Manage trading, operations, and back-office teams, ensuring appropriate segregation of duties and effective checks and balances.
• Handle client complaints, unusual trading activities, and regulatory enquiries.
• Support the Company in licence enhancement or expansion initiatives and liaise with the SFC, auditors, legal advisers, and system vendors as required.
• Continuously monitor trading systems and external execution brokers to ensure system stability, operational resilience, and business continuity.

Skills

Regulatory compliance

Team management

Communication with regulators

Bilingual Chinese/English

Stakeholder liaison

Job description

Ethereal Tech Pte. Ltd. seeks a Responsible Officer to oversee the Company’s Type 1 regulated activity (securities dealing) and to drive client onboarding, KYC, and online/mobile trading platforms.

The role covers supervision of client assets, settlements, and regulatory liaison in a fast-paced retail brokerage environment. Ideal candidates will have SFC RO approval, extensive Type 1 experience, and strong Chinese/English communication skills to interact with regulators and stakeholders