RO- Head of Dealing

6 days ago

Hong Kong Island, Hong Kong SAR China Green Lake Executive Search Full time

Key Responsibilities Led end‑to‑end product development such as Stock Borrow‑Lending (HK SBL), US stock fractional shares, and after‑market trading. Spearheaded virtual asset (VA) trading, securing SFC license and ensuring compliance for the Hong Kong market. Act as the named Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), leading the overall management of the company's regulated activities. Manage a team to perform daily front‑to‑back office operations. Develop, implement, and continuously enhance the firm’s comprehensive compliance framework, including policies, operation procedures, and controls manuals; ensure that daily business operations comply with the SFC regulations and internal compliance requirements. Participate in business strategic planning and major decision‑making, providing professional advice from a compliance and regulatory perspective; balance business development and risk control to ensure compliant and steady operation of the business. Keep up‑to‑date with changes in financial regulations and best practices. Job Requirements Bachelor degree holder or above in finance, economics, or business‑related fields. Currently accredited by the SFC as unconditional Responsible Officer for Type 1, 2, 4, or Type 1, 4 licenses. Minimum of 7 years of relevant experience in the financial services industry, including managing securities and futures dealing business and product development. Familiar with the regulatory framework of the Hong Kong Securities and Futures Commission and business operation procedures; deep understanding of Hong Kong's securities market regulations, compliance requirements and risk controls. Strong communication and interpersonal skills, able to effectively liaise with regulatory authorities and internal stakeholders. Proactive, detail‑oriented approach to work, committed to upholding the highest standards of professional conduct. Seniority Level Mid‑Senior level Employment Type Full‑time Job Function Product Management and Finance Industries Financial Services and Banking #J-18808-Ljbffr

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