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SFC Type 1 Responsible Officers (RO) - OTC Products ComplianceOne Consulting Limited
  • Sheung Wan
  • HK$45,000 - 55,000 /month (negotiable)
  • Posted on 22 Aug 2019
SFC Type 1 Responsible Officers (RO) - OTC Products ComplianceOne Consulting Limited

Job Highlights

  • 3-5 years of Managerial Experience Required
  • Experience in OTC Products
  • Type 1 RO with Managerial Experience

Job Description

Our Client (Type 1 License) is a new financial house with very strong presence in China. Their current team has years of experience in the cross-boarder securities business. Their main clients consists of large scale Hedge Funds who focus on investment of OTC and related products.

The Company is now looking for capable people with RA1 Responsible Officers qualifications to join their team.



Key Responsibilities:

  • Set-Up OTC Products Trading Desk
  • Manage the OTC Products Trading Desk operation
  • Design Operation Flow and Compliance Procedures
  • Act as Responsible Officer (RO) with Managerial Responsibilities and Duties and to Supervise SFC Regulated Activities of the Firm 
  • Manage Daily Operations to Ensure the Firm are Fully Complied with Regulation.


  • Minimum 3 Years+ of Solid  Experience in OTC Products (including Notes, Swap, OTC Option, TRS, ELN, Accumulator......etc)
  • Familiar with ISDA and GMRA
  • Familiar with Operation Flow and Compliance Procedures. 
  • Current holder of SFC Responsible Officer License for Type 1 (Conditional or Unconditional),  regulated activities.
  • However, Current Type 1 Representatives will also be considered if they have the above-mentioned experiences.
  • Sound knowledge of the regulations, and the industry guidelines
  • With Strong Leadership, Presentation and Interpersonal Skills
  • Good command of written & spoken English and Mandarin


Please send your updated CV with Expected Salary and Availability to us!


Thank you!

Additional Information

Career Level
Years of Experience
5 years
Employment Type
Full Time, Permanent

Company Overview

ComplianceOne Consulting Limited (ComplianceOne) provides comprehensive consulting services in compliance to various financial institutions including licensed corporations in securities trading, futures trading, wealth management and asset management. Built on a professional team with sufficient knowledge in compliance and operational experience in different types of licensed corporations, we are dedicated to offering our clients concrete recommendations in compliance and deciding business plans compatible with principles of compliance for our clients. Our professional services will guarantee our clients that their companies will operate efficiently and strictly in accordance to relevant compliance policies.


We target to render the best support services to clients who wish to establish licensed corporations in regulated activities. We will provide them with the consulting services for the application of related licenses in SFC. Free consultation and initial assessment are also available to foster the application. Successful applicants can also enjoy our support services in compliance.


Please Visit our website www.ComplainceOne.HK for more information!

Additional Company Information

Benefits & Others
Five-day work week, Medical insurance, Performance bonus