Key Responsibilities

• Act as the Type 1 Responsible Officer for the firm, ensuring regulatory compliance and proper governance for relevant regulated activities.
• Oversee settlement operations end-to-end, including (as applicable):
• Trade settlement workflow and monitoring
• Reconciliation and exception handling
• Confirmation and settlement instruction processes
• Corporate actions and position updates (if relevant to settlement scope)
• Ensure adherence to HKSI / SFC / internal policies, procedures, and controls relating to settlement and operational risk.
• Ensure timely and accurate reporting to internal stakeholders and regulators where required.
• Maintain and update compliance documentation, including:
• Policies and procedures
• Audit trails and evidence of control testing
• Standard operating procedures (SOPs) for settlement activities
• Coordinate with internal teams (Operations, Compliance, Risk, IT, and Finance) to address settlement risks, breaches, and control gaps.
• Conduct internal reviews and support investigations related to settlement errors, late settlement, fails, and customer/order issues (as applicable).
• Support regulatory inspections, audits, and compliance assessments.
• Provide guidance and oversight to relevant staff on settlement best practices and compliance requirements.
• Fulfill HKSI Type 1 RO responsibilities, including demonstrating readiness for and completion/qualification with the CVAP exam (per firm requirement).

Required Qualifications & Experience

• HKSI Type 1 Responsible Officer qualification (or eligibility to assume Type 1 RO status), including CVAP exam qualification as required by the hiring firm.
• In-depth understanding of:
• Securities settlement lifecycle and reconciliation processes
• Settlement controls and operational risk management
• Regulatory/compliance expectations for settlement operations in Hong Kong
• Strong working knowledge of internal controls, audit readiness, and incident/breach handling.
• Proficiency with settlement systems/tools and reconciliation practices (specific systems can be listed if known).

Interested parties, please send your resume to charlotte.mou@manpowergrc.hk