Type 1 Responsible Officer - Margin Financing

FUZE SECURITIES (INTERNATIONAL) LIMITED; Hong Kong; On-site; HKD 700,000 - 950,000; Full time

Job summary

FUZE SECURITIES (INTERNATIONAL) LIMITED in Hong Kong seeks an experienced Regulatory Compliance Officer with SFC Type 1 RO eligibility to lead risk management, AML/KYC, and regulatory relations. You will oversee internal controls and ensure adherence to securities laws and market conduct standards.

The role requires 5+ years in financial services with margin financing exposure, strong regulatory knowledge, and immediate availability is preferred.

Qualifications

• Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Type 1
• Act as RO for Type 1 regulated activities with management duties
• Minimum 5 years of experience in financial services, with direct margin financing exposure
• Comprehensive knowledge of SFC regulations, HK securities law and international best practices in financial services compliance
• Strong understanding of market abuse regulations, insider dealing prevention and best execution obligations
• Experience managing regulatory relationships and responding to inspections/examinations
• Proficiency in Microsoft Office and familiarity with compliance management systems advantageous
• Immediate availability is highly preferred

Responsibilities

• Ensure compliance with securities regulations, licensing requirements and conduct of business rules
• Oversee risk management and internal control frameworks to protect client assets and maintain operational integrity
• Monitor and supervise trading activities to identify and mitigate regulatory violations and market abuse risks
• Manage relationships with regulatory authorities and respond to regulatory enquiries and examinations
• Implement and maintain AML and KYC procedures
• Advise senior management and the board on regulatory developments and associated risks to the business

Skills

SFC RO approval

Regulatory compliance

Risk management

AML/KYC procedures

Regulatory relationships

Margin financing knowledge

Tools

Microsoft Office

Compliance management systems

Job description

Ensuring compliance with all applicable securities regulations, including licensing requirements and conduct of business rules

Overseeing the firm's risk management and internal control frameworks to protect client assets and maintain operational integrity

Monitoring and supervising trading activities to identify and mitigate potential regulatory violations and market abuse risks

Managing relationships with regulatory authorities and responding to regulatory enquiries and examinations

Implementing and maintaining anti-money laundering (AML) and know-your-client (KYC) procedures

Advising senior management and the board on regulatory developments and associated risks to the business

Qualification

Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1

Act as RO for the Company's Type 1 regulated activities, with management responsibilities and duties

Minimum 5 years of experience in the financial services industry, with direct experience in margin financing.

Comprehensive knowledge of SFC regulations, Hong Kong securities law and international best practices in financial services compliance

Strong understanding of market abuse regulations, insider dealing prevention and best execution obligations

Experience managing regulatory relationships and responding to regulatory inspections and examinations

Proficiency in Microsoft Office applications and familiarity with compliance management systems is advantageous

Immediate availability is highly preferred