Responsible Officer (Type 1, 7)
Company not disclosed
Job Description
Job Responsibilities: - Experience in working under the Type 7 (Automated Trading Services) firm and optimize the electronic trading platforms. - Familiar with Future, Options, Structured product and Securties operation and able to review, enhance, and approve operational policies and procedures (SOPs) . - Support senior management in ensuring ongoing compliance, audit readiness, and regulatory reporting obligations. Job Requirements: - Minimum 8 years of relevant experience in securities dealing, trading systems, or brokerage operations.. - Eligible to be approved as a Responsible Officer under SFC requirements for Type 1 and Type 7 regulated activities. - Solid understanding of SFC regulations, including electronic trading, ATS, and risk management controls. - Proven experience in electronic trading platforms, algorithmic trading controls, or ATS environments is highly preferred. - Strong command of written and spoken English and Mandarin, with the ability to independently prepare compliance reports and regulatory submissions to the SFC.
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