Responsible Officer/Head of Brokerage, AI Driven(5-Days Work & Bonus)

What you’ll get from working at Magic Compass: Flexible Working Hours (No Attendance); Dynamics Work Environment Competitive compensation and benefits plus discretionary performance bonus Comprehensive Medical insurance coverage Five-days work, bank holiday, Birthday Leave Convenient working locations near MTR Station International exposure in your career and building a global interpersonal network We are seeking an experienced and compliance-driven Responsible Officer to oversee and manage our firm’s SFC Type 1, 2 , 4 , Type 9 regulated activities. The RO will serve as the core person-in-charge of the licensed corporation, bearing ultimate responsibility for regulatory compliance, internal control frameworks, and the day-to-day supervision of all licensed businesses. This role requires a key member who can navigate complex regulatory landscapes while driving operational efficiency through the strategic use of technology and AI. Responsibilities: Supervise all licensed activities: In line with the SFO, SFC Code of Conduct and AML/CFT requirements Final approval on account opening: Review and sign off all new client accounts, ensuring strict adherence to KYC, suitability, and due diligence standards. Joint sign-off with another RO on all credit/margin facilities above the required amount: with thorough risk assessment and documentation. Large-Transaction Monitoring & Reporting: Oversee real-time surveillance of large/value trades; establish escalation protocols and ensure timely regulatory reporting to SFC/HKEX. Own the large-exposure monitoring & escalation line; direct remedial action on limit breaches Complaint Handling: Lead the investigation and resolution of client complaints, approve final responses, corrective action and report material issues to the regulator as required. AML Decision-Making: Act as the ultimate decision-maker on AML/CFT matters, including client risk ratings, enhanced due diligence, and approval of Suspicious Transaction Reports (STRs) to JFIU. AI & Automation for Efficiency: Champion the use of AI tools to automate compliance monitoring, transaction screening, onboarding workflows, and reporting – reducing manual effort and enhancing accuracy. Drive AI-enabled efficiency in screening, monitoring and reporting, with human oversight of all regulated decisions Perform other ad-hoc projects and assignments as required. Requirements: Bachelor degree holder in Finance, Law, Accounting, Economics or related discipline; professional qualifications CFA / CPA is an advantage. Minimum of 5 years of relevant experience in brokerage business/securities and futures/FX/Family Office/PE fund, or supervisory/management role within an SFC-licensed corporation. Holder of SFC license in 1,2,4,9 is preferred. Experience using modern AI development tools such as Cursor, Claude Code, Codex, Gemini CLI, Genspark, Manus, OpenHands, or similar AI-assisted development tools. Familiar with the laws, regulations, SFO, Codes of Conduct, MIC regime, AML/CFT regulations, FRR and guidelines of the finance industry; Possess solid financial theory foundation and experience in establishing and operating private equity funds; experience in HKLPF and SPC funds is preferred. Demonstrated track record in credit governance, AML/CTF oversight, and client dispute resolution. Possess sensitive investment judgment and strong negotiation skills, good moral character and professional ethics, strong team leadership, market development, organizational coordination, and communication skills. Strong commitment to continuous learning and staying abreast of regulatory developments and technological innovations in the financial services industry. Good command of Cantonese, English and Mandarin. Immediate available is an advantage. More experience will be considered as Director. Work visa holders is welcome ( QMAS / TTPS / ASMTP Visa). We are an equal opportunity employer and welcome applications from all qualified candidates. The information provided will be treated in strict confidence and be used only for consideration of your application for relevant/similar posts within the Magic Compass. Applicants not hearing from us within 6 weeks from the date of advertisement may consider their applications unsuccessful. All personal data of unsuccessful applicants will be destroyed within 12 months from the date of application.