Responsible Officer 1 (Dealing & Customer Services)

Responsible Officer 1 (Dealing & Customer Services)


  • Act as Responsible Officer to supervise SFC Type 1 regulated activities of the firm
  • Responsible for daily operation with focus on dealing & customer services (and with settlement and risk management experience)
  • Formulate, review and update the operational procedures to ensure all regulatory & reporting requirements are fulfilled in a timely and compliant manner with local regulatory bodies
  • Liaise with other professional parties and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange
  • Liaise with prime brokers to open accounts, get credit lines and other arrangements
  • Support senior management and assist in various business development exercise


  • Current holder of SFC Type 1 RO license with relevant experience for not less than 5 years
  • Knowledge of Bloomberg and basic computer skills are preferred
  • Bachelor degree (or above) in Finance, Economics, Business or other related disciplines
  • Strong leadership, good interpersonal and communication skills
  • Proficiency in both English and Mandarin
  • Immediately available is highly preferred

Interested candidates please send your cv to or contact us at 25200104






Enquiry: 25200104

To apply for this job, please send your CV to

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