RO（Executive Director)

Requirements Valid HKSI Senior Qualification for the relevant regulated license type. Minimum 3 years SFC licensed compliance supervisory experience in Hong Kong licensed securities firms. Eligible for Hong Kong Company Director registration, full-time Hong Kong onsite, no external part-time / duplicate licensing.Clean regulatory record, no disciplinary sanctions, fully pass SFC fit & proper assessment.Key ResponsibilitiesRegulatory Liaison & Reporting Serve as the primary SFC contact person; handle regulatory enquiries, onsite inspections, annual AR returns, FAR risk assessment reports, and all licensing personnel filings & updates.Top-Level Compliance Governance Approve and update company compliance policies, AML procedures, customer protection rules, and cross-border cooperation frameworks; hold final approval authority for major business and institutional cooperation matters with dual-control review implementation.Company-level Governance & Risk Management Participate in core company business decisions; approve annual CPT training arrangements, supervise team compliance performance, lead regulatory rectification work and major customer complaint resolution.Licence Talent Reserve Management Establish RO backup talent pool, approve RO recruitment and replacement plans, ensure continuous licence compliance stability.