Dealer (Securities, RO Type 1)

Job Description

The CompanyThe 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 RoleSFC 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 ProfileEducation: Bachelor's degree or higher in Finance, Economics, Mathematics, Statistics, Computer Science, or a related quantitative field.Licensing & Certification: SFC License Type 1Senior 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. 67010-0013383547By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com/hk/en/privacy. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time. Show More