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Operation Director / Responsible Officer (SFC Type 1) (Ref: DCC20211053)


Job Level

Top Executives

About the Role

Reporting to the CEO of the Group, the Operation Director is responsible for supervising the dealing, settlement and CS Teams.

- Act as Responsible Officer to supervise SFC regulated activities
- Supervise daily securities operations, including local and overseas market
- Ensure all business activities comply with SFC rules and guidelines
- Liaise with SFC, HKEX and other regulatory bodies for regulated activities related matters
- Formulate, review and update the operation procedures to ensure full regulatory compliance
- Implement business development and marketing plan
- Participate and handle ad doc operation related projects


  • Degree holder or above in Finance, Banking or related discipline

  • Minimum 10 years’ relevant experiences in SFC licensed corporations with solid knowledge of operation, compliance and risk management

  • SFC registered RO for SFC license type 1

  • Proven experience in managing a sizable support team

  • Sound knowledge of SFO, SFC Code of Conduct, regulations and guidelines of relevant regulatory authorities and risk management control

  • Solid understanding about middle and back office operations and risk controls

  • Good command of both written and spoken in English and Chinese (Cantonese and Mandarin)

  • Independent with minimal supervision, self-motivated, well-organized, detail oriented, willing and able to work under tight time schedule with strong sense of responsibility

  • Immediate available is highly preferred

About the employer

Our client is a SFC Licensed Corp (Type 1, 4 & 9) rapidly expanding in Fintech area

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