SFC-Approved Responsible Officer: Securities Dealing & Compliance

WilliamSELECT; Hong Kong; On-site; HKD 1,200,000 - 2,400,000; Full time

Job summary

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to oversee its dealing business and ensure securities activities comply with SFO/SFC and HKEX requirements. You will provide senior supervision of dealing operations, execution processes, risk controls and governance, collaborating with compliance, operations, technology and senior management.

This role requires current RO approval for Type 1 and Type 2 activities, at least five years in securities dealing or

Qualifications

• Current or recent SFC Responsible Officer approval for Type 1 and Type 2 activities.
• At least 5 years of experience in securities dealing or related regulated business.
• Strong knowledge of order handling, trade execution and brokerage controls.
• Experience with trading platforms or dealing-related technology is advantageous.
• Fluent English and Cantonese; Mandarin is a plus.
• Meet SFC fit-and-proper and competence requirements.

Responsibilities

• Act as Responsible Officer for Type 1 and Type 2 regulated activities.
• Oversee daily dealing, order handling, trade execution and post-trade processes.
• Ensure compliance with SFO, SFC requirements, HKEX rules and internal policies.
• Supervise dealing controls, market conduct, trade surveillance and risk processes.
• Support regulatory inspections, inquiries, reporting and internal reviews.
• Lead improvements to trading systems, workflows, procedures and governance.
• Collaborate with compliance, risk, operations, technology and business teams.
• Provide practical regulatory and dealing guidance to senior management.

Skills

SFC regulatory compliance

Securities dealing experience

Risk controls

English & Cantonese communication

Job description

WilliamSELECT in Hong Kong seeks an experienced SFC-approved Responsible Officer to oversee its dealing business and ensure securities activities comply with SFO/SFC and HKEX requirements. You will provide senior supervision of dealing operations, execution processes, risk controls and governance, collaborating with compliance, operations, technology and senior management.

This role requires current RO approval for Type 1 and Type 2 activities, at least five years in securities dealing or