SFC RO for Type 1 & 4 – Regulatory Controls Leader

RD Technologies; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

RD Technologies is seeking a diligent, commercially minded Responsible Officer to oversee SFC Type 1 and Type 4 activities. This role centers on strong regulatory judgement, execution across compliance, risk management and governance, with emphasis on control effectiveness.

The successful candidate will hold current SFC RO approval or imminent CVAP completion, bring several years of HK market experience, and communicate in English with Cantonese/Mandarin advantageous.

Qualifications

• Current SFC approval as a Responsible Officer for Type 1 and Type 4, or ability to pass CVAP quickly.
• Typically 5 years of relevant experience in Hong Kong securities, brokerage, asset management or related fields.
• Solid knowledge of the Securities and Futures Ordinance, SFC rules and guidelines.
• Experience with client onboarding controls, KYC and AML/CFT processes.

Responsibilities

• Act as SFC Responsible Officer for Type 1 and Type 4 activities, under licensing structure and approval requirements.
• Support day-to-day supervision of regulated activities and ensure proper oversight at all times.
• Assist regulatory communications, inspections and filings with SFC and other authorities.

Skills

SFC RO

Regulatory oversight

Compliance monitoring

Risk management

Client onboarding controls

KYC AML/CFT

Internal governance

English proficiency

Job description

RD Technologies is seeking a diligent, commercially minded Responsible Officer to oversee SFC Type 1 and Type 4 activities. This role centers on strong regulatory judgement, execution across compliance, risk management and governance, with emphasis on control effectiveness.

The successful candidate will hold current SFC RO approval or imminent CVAP completion, bring several years of HK market experience, and communicate in English with Cantonese/Mandarin advantageous.