Surrienta

Responsible Officer — SFC Type 1 / RA 1

Location: Hong Kong

Employment Type: Full-time / Negotiable

License: SFC Type 1 — Dealing in Securities

About the Role:

We are seeking an experienced Responsible Officer for SFC Type 1 regulated activity — Dealing in Securities to support the establishment and ongoing supervision of our Hong Kong licensed securities business.

-The candidate will be responsible for overseeing Type 1 regulated activities, supporting licensing matters, establishing internal control procedures, supervising securities dealing activities, and ensuring compliance with applicable SFC and HKEX regulatory requirements.

-This role is suitable for candidates with solid experience in securities dealing, institutional brokerage, sales trading, execution, prime brokerage, DMA, QFII, Stock Connect or cross-border securities trading.

Key Responsibilities:

• Act as, or apply to act as, a Responsible Officer for SFC Type 1 regulated activity.

• Supervise the company’s securities dealing business and ensure compliance with SFC regulatory requirements.

• Oversee client onboarding, KYC, AML, professional investor assessment, suitability, order handling and trade monitoring procedures.

• Support the establishment of internal control, compliance, risk management and operational procedures.

• Liaise with the SFC, external legal counsel, compliance consultants, auditors, brokers, custodians and other service providers.

• Supervise licensed representatives and relevant front, middle and back-office staff.

• Handle trade exceptions, conflicts of interest, client complaints and other regulatory matters.

• Support business initiatives involving institutional clients, PB, DMA, QFII, Stock Connect and cross-border trading channels.

Requirements:

• Current or recent SFC Type 1 Responsible Officer status is strongly preferred.

• Candidates currently licensed as SFC Type 1 Licensed Representatives with strong RO eligibility may also be considered.

• At least 3 years of relevant industry experience in RA 1-related activities over the past 6 years.

• At least 2 years of management or supervisory experience.

• Strong knowledge of Hong Kong securities dealing, institutional brokerage, order execution, client onboarding and regulatory requirements.

• Passed or able to satisfy the relevant HKSI Licensing Examination requirements for RA 1 RO, preferably including:

o HKSI LE Paper 1

o HKSI LE Paper 2

o HKSI LE Paper 7

o HKSI LE Paper 8

• Good regulatory track record with no material disciplinary issues.

• Preferably no Non Sole Condition or other material licensing restrictions.

• Ability to perform RO duties in substance, not merely on a nominee basis.

• Good command of written and spoken English and Chinese.

Preferred Experience:

• Experience with Hong Kong brokers, international investment banks or Chinese securities firms’ Hong Kong subsidiaries.

• Institutional brokerage, sales trading, execution trading or prime brokerage background.

• Experience with DMA, algorithmic trading access, QFII / RQFII, Stock Connect or cross-border securities trading.

• Experience serving hedge funds, quantitative funds, asset managers, family offices or professional investors.

• Prior involvement in SFC licensing applications, RO applications, business plan preparation or compliance framework setup.

Ideal Candidate:

The ideal candidate is a current or recent SFC Type 1 Responsible Officer with hands-on experience in institutional securities dealing, brokerage, PB, DMA, QFII or cross-border trading, strong knowledge of Hong Kong regulatory requirements, and the ability to actively supervise the licensed business on a day-to-day basis.

Application:

Interested candidates should provide:

• Resume;

• Current and historical SFC licensing record;

• HKSI LE papers passed;

• Whether the candidate has previously acted as an RA 1 RO;

• Any licensing conditions or restrictions;

• Earliest availability and preferred work arrangement.