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Senior Manager / Type 1 RO & MIC - Securities Business

Hong Kong Permanent View Job Description
To lead the securities business and managing both dealing and settlement functions. Drive business growth across equities, margin financing, bonds, and ECM products while ensuring compliance with SFC regulations and operational excellence.
  • Key Business Leadership Role
  • Platform Expansion & Growth

About Our Client

Our client is a well-established Hong Kong-based financial institution with strong Mainland China connectivity.

Job Description

  • Act as a Type 1 Responsible Officer (RO) and key business owner (MIC) for the Securities business.
  • Lead and manage a team of approximately 10 staff across dealing and settlement functions.
  • Oversee daily securities trading activities, including equities, margin financing, bonds, and ECM-related products.
  • Ensure compliance with SFC regulatory requirements and internal control standards.
  • Work closely with management to develop compliant business initiatives and identify new growth opportunities.
  • Support VIP and high-net-worth clients while maintaining strong governance over client asset handling and operational controls.
  • Drive operational efficiency, risk management, and business development initiatives across the platform.



The Successful Applicant

  • Existing Type 1 Responsible Officer (RO) or strong candidate eligible for RO appointment.
  • Strong hands-on experience running a Securities business; not just a license holder but actively involved in day-to-day operations.
  • Solid background managing dealing desks, securities operations, and regulatory responsibilities.
  • Experience leading teams and managing both front-office and settlement functions.
  • Strong product knowledge across equities, margin financing, bonds, and capital markets products.



What's on Offer



If you are ready to take on this role, we encourage you to apply.

Contact
Jane Tham
Quote job ref
JN-072026-7068955
Phone number
+852 2848 4798

Job summary

Function
Banking & Financial Services
Specialisation
Operations / Middle Office - Banking / Securities
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Permanent
Consultant name
Jane Tham
Consultant phone
+852 2848 4798
Job Reference
JN-072026-7068955

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.