SFC Type 1 RO: Compliance & Operations Leader

Riches Depot Securities Co., Limited; Hong Kong; On-site; HKD 1,004,000 - 1,674,000; Full time

Job summary

Riches Depot Securities Co., Limited is seeking an experienced Responsible Officer (SFC Type 1) to join our compliance and risk management team. This role oversees operations, maintains regulatory standards, and safeguards the integrity of our financial services within the SFC framework.

The candidate will act as RO for Type 1 activities, supervise daily operations, and liaise with the SFC on licensed matters.

Qualifications

• Current SFC Type 1 RO license holder.
• Ability to multi-task and prioritize multiple requests.
• Proficient in written and spoken English and Chinese (Mandarin/Cantonese).
• Immediately available preferred.

Responsibilities

• Act as RO for Type 1 regulated activities with management duties.
• Execute clients' trade orders for securities in a timely and accurate manner.
• Supervise daily operations to ensure compliance with SFC rules and ordinances.
• Liaise with SFC on related licensed matters.
• Document operations, policies, and risk control procedures.
• Oversee trading, settlement, risk control, and client service.
• Handle ad-hoc duties as required.

Skills

Regulatory compliance

Risk management

Education

SFC Type 1 RO license

Job description

Riches Depot Securities Co., Limited is seeking an experienced Responsible Officer (SFC Type 1) to join our compliance and risk management team. This role oversees operations, maintains regulatory standards, and safeguards the integrity of our financial services within the SFC framework.

The candidate will act as RO for Type 1 activities, supervise daily operations, and liaise with the SFC on licensed matters.