- Hong Kong Hong Kong
Riche Bright Securities Limited Hiring! Full Time Responsible Officer - Director in Hong Kong - Ricebowl
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Job Description
Responsibilities
Key responsibilities:
Act as Type 1, 4, and 9 Responsible Officer (RO) approved by the SFC, and serve as Director & Overall Management Oversight function (OMO) to oversee the firm’s regulated activities.
Provide strategic leadership and daily supervision over dealing, fund management, risk management, and settlement operations.
SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.
Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.
Requirements:
Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
Minimum 5 years of solid experience in SFC-regulated financial institutions, with at least 3–5 years of proven track record as an active SFC Type 1, 4, and 9 RO.
Deep knowledge of the Securities and Futures Ordinance (SFO), Anti-Money Laundering (AML) regulations, and SFC guidelines.
Knowledge of products such as HK stock, US stock, LPF/Caymen Fund; also with TCSP and TRS experience is advantage;
Strong leadership, strategic planning, and risk management capabilities.
Native/Fluent in Mandarin and Cantonese, with excellent command of written and spoken English.
Immediate availability or short notice is highly preferred
Full-time
Act as Type 1, 4, and 9 Responsible Officer (RO) approved by the SFC, and serve as Director & Overall Management Oversight function (OMO) to oversee the firm’s regulated activities.
Provide strategic leadership and daily supervision over dealing, fund management, risk management, and settlement operations.
SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.
Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.
Requirements:
Bachelor’s degree or above in Finance, Economics, Business Administration, or related disciplines.
Minimum 5 years of solid experience in SFC-regulated financial institutions, with at least 3–5 years of proven track record as an active SFC Type 1, 4, and 9 RO.
Deep knowledge of the Securities and Futures Ordinance (SFO), Anti-Money Laundering (AML) regulations, and SFC guidelines.
Knowledge of products such as HK stock, US stock, LPF/Caymen Fund; also with TCSP and TRS experience is advantage;
Strong leadership, strategic planning, and risk management capabilities.
Native/Fluent in Mandarin and Cantonese, with excellent command of written and spoken English.
Immediate availability or short notice is highly preferred
Full-time
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