SFC Type 1 RO – Compliance Leader for Securities Ops

Going International Asset Management Limited; Hong Kong; On-site; HKD 900,000 - 1,100,000; Full time

Job summary

Going International Asset Management Limited is seeking a Responsible Officer (RO) for SFC Type 1 Dealing in Securities to ensure daily operations comply with SFO, SFC codes, and AML/KYC requirements. You will oversee cross-border securities activities and coordinate with brokerage partners in Hong Kong.

You will supervise LRs and staff, manage trade execution, settlement, and client onboarding, and liaise with the SFC, HKEX, auditors, and legal advisors to support regulatory filings and

Qualifications

• Currently or recently registered as an SFC Type 1 Responsible Officer (RO).
• Minimum 5 years of relevant experience in the Hong Kong securities/brokerage sector, with at least 3 years in an RO management capacity.
• In-depth knowledge of SFO regulations, SFC Code of Conduct, CCASS settlement, and AML compliance.
• Excellent command of spoken and written English and Chinese (Mandarin and Cantonese).
• Strong risk awareness, outstanding interpersonal & cross-cultural communication skills, and a result-oriented mindset.

Responsibilities

• Act as Responsible Officer for SFC Type 1 activities and ensure compliance with SFO, SFC codes and AML/KYC.
• Coordinate with brokerage partners to expand Hong Kong and cross-border business, optimize workflows.
• Oversee operational workflows, trade execution, settlement processes, and client onboarding/KYC.
• Maintain communication with the SFC, HKEX, and external auditors/legal advisors for regulatory filings and inspections.
• Provide guidance and supervisory oversight to Licensed Representatives and staff to ensure compliance.

Skills

SFC Type 1 RO

Regulatory compliance

Cross-border coordination

Bilingual English/Chinese

Job description

Going International Asset Management Limited is seeking a Responsible Officer (RO) for SFC Type 1 Dealing in Securities to ensure daily operations comply with SFO, SFC codes, and AML/KYC requirements. You will oversee cross-border securities activities and coordinate with brokerage partners in Hong Kong.

You will supervise LRs and staff, manage trade execution, settlement, and client onboarding, and liaise with the SFC, HKEX, auditors, and legal advisors to support regulatory filings and