Assistant Director - CS and Dealing
Core
Act as the SFC-approved Responsible Officer to take full management oversight of the firm's regulated securities businesses, focusing on institutional client business including trading, brokerage, client servicing, and operational compliance.
Role type
Senior Responsible Officer (Regulatory & Business Operations)
Builds
Institutional securities business operations and regulatory compliance frameworks
Domain
Financial Services / Securities Regulation
Deliverable
client delivery
Required skills
Regulatory supervision, institutional business operation oversight, regulatory liaison, policy formulation, risk control, business project management, business training
Preferred skills
Type 3, Type 4, or Type 9 Responsible Officer qualification
Technologies
Trading systems, AML controls, trade surveillance tools
Responsibilities
Independently supervise all institutional securities business to eliminate material regulatory breaches; oversee institutional order execution, margin financing, and post-trade support; act as point of contact for SFC, HKEX, and regulators; draft and update institutional SOPs and risk frameworks; lead institutional product rollouts and trading system upgrades; organize regulatory compliance training for the team.
Seniority
Senior, management level