Responsible Officer Type 1, 4 & 9 (Open Budget)

Be Myjob Company Limited; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Be Myjob Company Limited in Hong Kong seeks a senior Responsible Officer to oversee Type 1, Type 4 and Type 9 activities across dealing, advisory and asset management.

The role requires current SFC RO qualifications and Type 11 OTC derivatives experience to support risk governance and supervise licensed staff.

Fluency in English and Mandarin is required; Cantonese is a plus; you will liaise with regulators and lead governance forums.

Qualifications

• Current SFC RO qualification for Type 1, 4 and 9, or immediately eligible for appointment.
• Demonstrable Type 11 (OTC derivatives) experience to support oversight and regulatory expectations.
• Senior securities leadership experience at a major securities firm.
• Proven ability to manage a sizeable licensed staff (20+).
• Deep knowledge of SFC rules for Types 1, 4, 9 and OTC derivatives.
• Strong commercial acumen with client base and revenue track record.
• Fluency in English and Mandarin; Cantonese an advantage.

Responsibilities

• Lead the securities business across dealing, advisory and asset management.
• Act as Responsible Officer for Type 1, 4, and 9 regulated activities and supervise staff.
• Oversee product due diligence, suitability and sales conduct for securities and derivative products.
• Collaborate with compliance, risk and operations to maintain robust controls.
• Represent the securities business in regulatory examinations, audits and governance forums.

Job description

Responsible Officer Type 1, 4 & 9 (Open Budget)

Lead the securities business across dealing, advisory, and asset management activities; drive revenue growth and client acquisition.

Act as Responsible Officer for Type 1, 4, and 9 regulated activities; ensure full compliance with SFC requirements and supervise regulated staff.

Bring Type 11 (OTC derivatives) expertise to the risk and product governance framework; support or lead OTC derivative product oversight and related compliance.

Manage and develop a sizeable securities team, including sales, dealing, and product staff; set performance standards and ensure adequate supervision.

Oversee product due diligence, suitability, and sales conduct across securities and derivative products.

Collaborate with compliance, risk, and operations to maintain robust controls and regulatory reporting.

Represent the securities business in regulatory examinations, audits, and governance forums.

Requirements

Current SFC RO qualification for Type 1, Type 4, and Type 9, or immediately eligible for appointment.

Demonstrable Type 11 (OTC derivatives) experience — either as an RO, or sufficient hands-on product and supervisory exposure to support Type 11 oversight and regulatory expectations.

Senior securities leadership experience at a major securities firm (big securities house strongly preferred).

Proven ability to manage a sizeable team in a licensed securities environment; experience with teams of 20+ licensed staff advantageous.

Deep knowledge of SFC regulatory requirements across Types 1, 4, 9, and Type 11 OTC derivative product rules.

Strong commercial acumen with a client base and revenue track record.

Fluency in English and Mandarin required; Cantonese an advantage.