全职 Assistant Director - CS and Dealing 工作, 薪水, Webull Hong Kong 公司招聘中 - Ricebowl

Role Overview

Act as the SFC-approved Responsible Officer (RO) to take full management oversight of the firm’s regulated securities businesses, with core focus oninstitutional client business (institutional trading, brokerage, client servicing and institutional operational compliance). Ensure all business activities fully comply with the SFO, SFC rules, HKEX requirements and internal governance policies, lead daily institutional business operation, risk control and regulatory liaison, and drive stable and compliant business development of institutional segment.

Key Responsibilities

Act as designated RO for Type 1 & Type 2 regulated activities; independently supervise all institutional securities business to eliminate material regulatory breaches and fulfil SFO statutory duties.

Oversee institutional order execution, margin financing, client account administration and post-trade support; streamline workflows to lift service efficiency and client satisfaction.

Be point of contact for SFC, HKEX and regulators for enquiries, inspections, filings and interviews; coordinate onsite audits and submit timely, accurate regulatory reports & remedial action plans.

Draft, review and update institutional SOPs, and risk frameworks; partner with Compliance & Risk teams for institutional client onboarding, EDD, trade surveillance, suspicious transaction probes and AML controls.

Lead institutional product rollouts, trading system upgrades and process optimisation; conduct market research, propose operational enhancements and complete ad-hoc management & regulatory projects.

Organize regular regulatory compliance training for institutional team members, strengthen team’s regulatory awareness and professional capability; monitor daily operational risks, rectify irregular operational behaviors in a timely manner.

Requirements

Job summary

SFC Responsible Officer (Type 1,2; Type 4,9 preferred)

Key selling points