SFC-Approved RO & Customer Services Leader

Leadingnation; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

Leadingnation in Hong Kong seeks an experienced regulatory leader to act as an SFC-approved Responsible Officer for Type 1 and Type 2 activities. You will provide governance, oversee compliance programs, and guide licensed client-support teams.

The role requires a bachelor’s degree and 7+ years in financial services, with strong knowledge of SFO/SFC rules, AML/CFT, and proven experience drafting policies and managing escalations. Excellent leadership skills are essential.

Qualifications

• SFC RO for Type 1 and Type 2 mandatory.
• Bachelor’s degree in Finance, Business Administration, Law, or related.
• 7+ years in financial services/brokerage with managerial experience over licensed teams.
• Strong knowledge of the SFO, SFC Code of Conduct, AML/CFT guidelines.
• Experience drafting/updating P&Ps in an SFC-licensed firm.

Responsibilities

• Act as SFC-approved RO for Type 1 and Type 2 activities and provide regulatory oversight.
• Establish, review, and maintain robust P&Ps in line with SFC requirements.
• Lead, mentor, and elevate a team of licensed client support professionals.
• Serve as senior escalation point for high-value client issues and disputes.
• Monitor KPIs/SLAs, optimize workflow, and coordinate with Compliance/Operations.
• Assist in handling SFC inquiries, inspections, audits, and licensing updates.

Skills

Leadership

Regulatory knowledge

Risk management

Problem solving

Education

Bachelor's degree in Finance, Business Administration, Law, or related

Job description

Leadingnation in Hong Kong seeks an experienced regulatory leader to act as an SFC-approved Responsible Officer for Type 1 and Type 2 activities. You will provide governance, oversee compliance programs, and guide licensed client-support teams.

The role requires a bachelor’s degree and 7+ years in financial services, with strong knowledge of SFO/SFC rules, AML/CFT, and proven experience drafting policies and managing escalations. Excellent leadership skills are essential.