Responsible Officer
18 hours ago
DL Securities (HK) Limited, a Hong Kong SFC‑licensed company, is seeking an experienced Responsible Officer for a full‑time role. The position primarily involves overseeing the company’s Type 1 and Type 4 regulated activities, ensuring compliance with relevant regulatory requirements, managing risks, and maintaining the highest standards of integrity and professionalism. As the principal Responsible Officer, you will lead the company’s compliance and trading operations, ensuring regulatory adherence and operational excellence. Key Responsibilities Act as the primary Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), with direct accountability for Type 1 and Type 4 regulated activities and virtual asset operations. Ensure that daily business operations comply with SFC regulations and internal compliance requirements. Operate the trading system to efficiently complete securities orders, settlements, and deliveries, including algorithmic trading. Monitor the entire transaction process, promptly address anomalies, and ensure correct delivery of funds and securities. Maintain full compliance with the Securities and Futures Ordinance (SFO), Anti‑Money Laundering (AML) regulations, SFC Codes, and international standards such as GDPR and FATCA. Communicate with service providers (private banks, brokers) and regulatory agencies (SFC). Lead the team to maintain and expand client relationships, establish collaborative relationships with branches, implement commercial and investment linkage business, and achieve delegated income targets. Handle other temporary tasks as required. Key Qualifications Bachelor’s degree or higher in finance, economics, or a related business field. At least 3 years of experience in Hong Kong securities trading, asset management, or private fund distribution, with a minimum of 3 years in a Licensed Representative (LR) position at an SFC‑licensed firm. PASS the Post‑training Examination for the Core Curriculum of the Certification Programme for Virtual Asset Professionals. Familiarity with SFC regulations for virtual asset trading platforms. Qualifications or eligibility to register as a Responsible Officer for Type 1 and Type 4 regulated activities under the SFC. In‑depth knowledge of the crypto ecosystem, Hong Kong regulatory framework, and market dynamics. Skillful operation of securities trading and settlement systems, including experience with algorithmic trading. Proficiency in financial products such as equities, bonds, over‑the‑counter derivatives, and private equity. Knowledge of Mainland China and Hong Kong financial markets. Excellent written and oral communication skills in both Chinese (Mandarin) and English. Company Overview DL Securities (HK) Limited is a holder of Hong Kong SFC licenses and engages in Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 6 (Advising on Corporate Financing) regulated activities. It is a subsidiary of DL Holdings Group Limited, a listed main‑board company on the Hong Kong Stock Exchange (1709 HK), offering a range of services including investment banking, securities trading, financial advisory, multi‑strategy investment funds, and financial loans. DL Family Office (HK) Ltd, part of the DL Holdings Group, provides a full suite of family‑office operations and services for ultra‑high‑net‑worth families across Greater China and globally. #J-18808-Ljbffr
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