Senior SFC RO for Type 1/2/9: Compliance & Trading Ops

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 senior Responsible Officer in Hong Kong to oversee Type 1, Type 2, and Type 9 activities. The role requires ensuring full compliance with SFO, SFC codes, and related guidelines while directing front-to-back office operations.

You will supervise licensed staff, lead risk management initiatives, and coordinate with trading and settlements teams. Fluency in English and Chinese is essential for stakeholder engagement and regulatory communications.

Qualifications

• License required: SFC RO for Type 1, Type 2 & Type 9 (unconditional / Sole RO preferred).
• 8–10 years in securities brokerage, futures or asset management; 3+ years supervisory/management.
• In-depth knowledge of SFO, SFC rules, HKEX, AML/CTF standards.
• Bachelor's degree in Finance/ Economics/ Business; HKSI LE qualifications or exemptions.

Responsibilities

• Act as SFC-approved RO for regulated activities.
• Ensure compliance with SFO, SFC Codes of Conduct and guidelines.
• Lead compliance manuals, AML/CTF workflows, KYC/CDD protocols.
• Oversee day-to-day securities dealing, margin financing and fund management.
• Supervise and train licensed representatives to meet regulatory standards.
• Drive system enhancements and connectivity testing with HKEX.

Skills

RO license

Regulatory knowledge

Leadership

Bilingual English/Chinese

Education

Bachelor's degree in Finance

Tools

Bloomberg

OMS/EMS

Job description

Aden Financial Holdings LTD is seeking a senior Responsible Officer in Hong Kong to oversee Type 1, Type 2, and Type 9 activities. The role requires ensuring full compliance with SFO, SFC codes, and related guidelines while directing front-to-back office operations.

You will supervise licensed staff, lead risk management initiatives, and coordinate with trading and settlements teams. Fluency in English and Chinese is essential for stakeholder engagement and regulatory communications.