Responsible Officer (Type 1, 4)

Responsibilities: Serve as Responsible Officer for SFC Type 1 and SFC Type 4 regulated activities. Take lead on setting up internal control and risk management processes, operations and infrastructure of the regulated business Liaise with SFC on related licensed matters Oversee business operations including but not limited to trading, settlement, risk control and client service etc; Lead end-to-end deal flow and transaction execution across diverse asset classes, including equities, fixed-income and SN. Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements; Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures; Ad-hoc duties assigned by the management. Requirements: Degree in finance or business related Minimum of 5 years’ solid experience in a management role, with at least 3 years as a Responsible Officer (Type 1) in the securities industry. Strong leadership and communication skills, with the ability to collaborate effectively across all levels of the organization. Detail-oriented, analytical, and proactive in problem-solving. Ability to multi-task and prioritize multiple work requests and perform well under pressure Good command in spoken & written English and Chinese