Assistant Director - CS and Dealing

Role OverviewAct 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 ResponsibilitiesRegulatory Supervision DutiesAct 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.Institutional Business Operation OversightOversee institutional order execution, margin financing, client account administration and post-trade support; streamline workflows to lift service efficiency and client satisfaction.Regulatory Liaison & Compliance ManagementBe 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.Policy Formulation & Risk ControlDraft, 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.Business Project & System UpgradeLead institutional product rollouts, trading system upgrades and process optimisation; conduct market research, propose operational enhancements and complete ad-hoc management & regulatory projects.Business Training & Internal GovernanceOrganize 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.RequirementsDegree holder in Business or related disciplinesQualified for Type 1 and Type 2 Responsible Officer of SFC (Type 3, Type 4 or Type 9 is an advantage)Minimum 5 years institutional brokerage experience at Hong Kong licensed securities houses, with hands-on expertise in institutional trading, client servicing and regulatory supervision.Solid command of SFO, SFC circulars, HKEX trading rules, AML and institutional compliance frameworks.Strong accountability, independent troubleshooting and robust risk mindset; able to manage regulatory inspections and operational crises under tight deadlines.Outstanding communication, negotiation and cross-department coordination; capable of sustaining long-term relationships with regulators and institutional clients.Fluent written & spoken English and Cantonese; Mandarin proficiency required.Meet SFC fit-and-proper criteria with no adverse regulatory records.Job summarySFC Responsible Officer (Type 1,2; Type 4,9 preferred)Key selling pointsOversee Institutional Trading & Client Service OperationsCompetitive remuneration package + Clear career progressionHong Kong Licensed Securities Firm