Responsible Officer

Responsible Officer (1.5M, Type 1, Virtual Assets) We are partnering with a highly reputable, growing financial institution focused on delivering professional, seamless brokerage and comprehensive financial services to its high-net-worth and retail client base. We are seeking a dynamic and experienced regulatory professional to be appointed as a Responsible Officer (RO) for our core regulated activity: Dealing in Securities (Type 1) . This is a leadership role combining regulatory compliance oversight with strategic business contribution, specifically in the context of integrating traditional brokerage services with emerging digital asset opportunities. The successful candidate will assume statutory responsibility for the operational and compliance integrity of the securities dealing business. Core Responsibilities (Statutory & Supervisory) Regulatory Compliance & Risk Management: Serve as a primary Responsible Officer (RO) and key person-in-charge (PIC) for the SFC Type 1 Regulated Activity. Maintain the highest standards of compliance with all relevant Hong Kong regulatory requirements, including the SFO, SFC Codes and Guidelines, AMLO, and internal control policies. Oversee compliance related to Virtual Assets (VA) activities , including ensuring adherence to SFC circulars and guidelines on virtual asset dealings, distribution, and client protection. Establish, review, and continuously enhance effective internal control procedures, operational manuals, and compliance monitoring programs for all securities dealing and VA-related processes. Ensure strict adherence to Client Money and Client Securities rules and requirements. Business & Operational Oversight: Supervise all aspects of the daily securities brokerage operations, including front, middle, and back-office functions (e.g., order routing, clearing, settlement). Oversee margin financing activities, ensuring robust policies are in place for credit risk assessment, collateral management, and margin call processes. Provide leadership and guidance to licensed representatives and sales teams on acceptable conduct, regulatory updates, and client suitability/KYC procedures, particularly concerning complex and digital products. Collaborate with the management team on strategic business initiatives, ensuring all new products or services related to securities dealing and virtual assets are compliant before launch. Act as the main point of contact and liaison for the Securities and Futures Commission (SFC) and other regulatory bodies. Ensure timely and accurate submission of all regulatory returns, reports, and licensing applications/updates. Report directly to the Board/Senior Management on the company’s regulatory health, internal control deficiencies, and risk exposure. Qualifications & Requirements Mandatory: Must be currently licensed, or immediately eligible to be licensed, as a Responsible Officer (RO) under the SFC for Type 1 (Dealing in Securities) regulated activity. A minimum of 5-8 years of relevant experience in securities brokerage, investment banking, or financial services, with at least 3 years in a managerial or supervisory compliance capacity. Essential Experience: Proven experience as a Responsible Officer or in a senior compliance role involving Virtual Assets (VA), blockchain technology, or FinTech , demonstrating a deep understanding of the regulatory landscape for digital assets in Hong Kong. Proven track record and in-depth understanding of brokerage operations, trade life cycles, settlement processes, and margin lending mechanics in Hong Kong. Excellent command of written and spoken English and Chinese (Cantonese and/or Mandarin). Degree in Finance, Law, Accounting, or a related discipline. Demonstrated ability to exercise sound judgment, maintain independence, and manage complex regulatory matters under pressure. Why Apply? This is an opportunity to take on a highly visible, statutory leadership role within a dynamic and ambitious firm at the nexus of traditional finance and the digital asset economy. You will have direct influence over business integrity and strategic growth while ensuring the highest level of regulatory adherence across both securities and virtual asset activities. Sheung Wan, Central and Western District, HK Your application will include the following questions: Which of the following statements best describes your right to work in Hong Kong? What's your expected monthly basic salary? How many years' experience do you have in the financial services industry? Which of the following languages are you fluent in? #J-18808-Ljbffr