Job ref no.: CT3120081-01#1553

Responsible Officer - Type 1 (Securities Brokerage) Stable Platform, Good Prospects!

Allegro Search Consultancy

Allegro Search Consultancy is a specialized search and consulting firm dedicated to the recruitment of professionals in banking and finance industries within Hong Kong, China and Asia regions. Our philosophy is committed to success by Search of Excellence, through the professionalism of our recruitment services to niche the market leaders and talents to enhance the growth of their businesses and career prospects.


Job Responsibilities:

  • Act as Responsible Officer to supervise daily securities operations
  • Formulate, review and update the operations procedures to ensure full regulatory compliance and risk control
  • Formulate, review and update the operations procedures to enhance business productivity and effectiveness
  • Supervise and monitor daily operational activities in comply with HKSFC and statutory regulations
  • Supervise in dealing activities, client servicing, marketing events etc.
  • Coordinate underwriting and placement services of both IPO companies and listed companies.
  • Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws
  • Establish and maintain proper documentation of all operations, policies and procedures, including operational and risk control procedures
  • Take up ad hoc projects as assigned

Job Requirements:


  • Degree holder in finance, accounting or business related disciplines
  • Minimum 8-10 years of relevant experience gained from securities brokerage, investment bank or similar financial institution with strong presence in HK and PRC markets
  • Proven solid experience in overseeing the overall operation of the securities brokerage business
  • At least holder of SFC Responsible Officer for Type 1 (additional RO of other regulated activities will be advantageous)
  • Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Team player, self-motivated, excellent communication, interpersonal, organization and problem solving skills
  • Strong business acumen with drive character to get things done, able to work independently and under pressure
  • Good command of both spoken and written English and Chinese (including Putonghua)


**Very attractive remuneration package with excellent fringe benefits will be offered to the right candidate.**

Interested parties, please send your FULL RESUME (in MS WORD format) with availability, current and expected salary by clicking Apply Now or you can contact us at (852) 2853 7622 / Fax (852) 3113 1722 for any enquiry.


For more information about our company, please visit our website at All information provided will be treated in strict confidence and used solely for recruitment purpose.

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More job information
Job ref no. CT3120081-01#1553
  • N/A
Job Function
  • 8 years - 10 years
Career Level
  • Middle management level
  • Degree