SFC-Approved Responsible Officer, Type 1 – HK Brokerage Lead

悖論管理有限公司; Hong Kong; On-site; HKD 446,000 - 670,000; Full time

Job summary

悖論管理有限公司 seeks an experienced Responsible Officer for Type 1 in Hong Kong to supervise the brokerage business and regulatory compliance. The RO will oversee US/HK equity trading, bonds, FCN, ELI and fund distribution, with an immediate start and no direct reports.

A strong regulatory track record and SFC-approved RO status are essential. The role emphasizes supervision and governance over sales, with potential commission only for self-sourced business.

Qualifications

• Existing SFC-approved Responsible Officer for Type 1 (Dealing in Securities).
• At least 5 years of Hong Kong securities brokerage experience, with 3+ years as RO or in a Type 1 supervisory role.

Responsibilities

• Act as the SFC-approved RO for Type 1 and supervise brokerage operations.
• Oversee dealing activity across US/HK equities, bonds, FCN, ELI and fund distribution.
• Approve order handling, best execution, and upstream broker relations.
• Oversee client onboarding, KYC/AML/CFT, risk profiling and suitability for products.
• Review product due diligence for new products or funds.
• Design and supervise, if/when launched, margin financing program.
• Monitor FRR compliance and manage monthly FRR Returns.

Skills

SFC Type 1 RO

US/HK equities

Bonds/FCN/ELI

FRR knowledge

Regulatory compliance

Bilingual CN/EN

Education

SFC-approved RO

Job description

悖論管理有限公司 seeks an experienced Responsible Officer for Type 1 in Hong Kong to supervise the brokerage business and regulatory compliance. The RO will oversee US/HK equity trading, bonds, FCN, ELI and fund distribution, with an immediate start and no direct reports.

A strong regulatory track record and SFC-approved RO status are essential. The role emphasizes supervision and governance over sales, with potential commission only for self-sourced business.