The Company

The successful candidate will serve as an SFC-approved Responsible Officer (RO) and Manager-In-Charge (MIC) for Type 1 (Dealing in Securities) regulated activity. This role carries dual responsibility: leading the day-to-day execution and commercial growth of the trading business, while bearing ultimate regulatory accountability for the operational integrity, compliance, and risk management of the Type 1 key business line in Hong Kong.

The Role

• SFC Compliance & Sign-off: Act as the primary point of contact for the SFC regarding Type 1 regulated activities. Ensure all operations strictly align with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, and internal policies.
• MIC Key Business Line Management: Assume full senior management accountability as the designated MIC. Supervise the corporate governance structure of the trading business line and maintain an updated organizational mapping for SFC submissions.
• Trade Execution: Execute buy/sell orders efficiently and accurately across various asset classes (Equities, Bonds, Derivatives, ETFs) in accordance with fund managers' or clients' instructions, striving for Best Execution.
• Market Monitoring: Monitor real-time market movements, order books, block trades, and macroeconomic news. Provide timely feedback to portfolio managers regarding market liquidity, volatility, and unusual trading patterns.
• Risk & Compliance: Strictly adhere to regulatory requirements (e.g., SEC, FCA, SFC rules depending on region) and internal risk guidelines. Ensure all trades are within authorized limits to prevent regulatory or financial breaches.
• Post-Trade & Reconciliation: Perform daily end-of-day (EOD) trade reconciliations. Collaborate closely with the middle/back office and settlement teams to resolve any trade discrepancies or settlement issues.
• Algorithmic Trading & Optimization: Utilize and optimize electronic trading tools and algorithms (e.g., VWAP, TWAP, POV) to minimize market impact and improve execution efficiency.
• Transaction Cost Analysis (TCA): Conduct post-trade analysis to evaluate execution quality and generate reports to help investment teams refine their strategies.

Your Profile

• Education: Bachelor's degree or higher in Finance, Economics, Mathematics, Statistics, Computer Science, or a related quantitative field.
• Licensing & Certification: SFC License Type 1
• Senior Level: 3+ years of experience handling large-scale institutional orders or proprietary trading.
• Exceptional numerical sense, high emotional intelligence, and the ability to make split-second decisions under extreme market pressure.
• Strong attention to detail with a zero-error mindset.

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference No. 67010-0013383547

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