Securities RO Lead (Type 1 & 4) – Growth & Compliance

Be Myjob Company Limited; Hong Kong; Vor Ort; HKD 600.000 - 900.000; Vollzeit

Zusammenfassung

Be Myjob Company Limited in Hong Kong is seeking an experienced Responsible Officer to oversee Type 1 and Type 4 regulated activities. You will lead and grow the securities business, drive client acquisition and revenue strategy, and ensure strict adherence to SFC requirements.

You will supervise dealing and advisory activities, oversee onboarding and suitability, mentor a lean team of CS, operations and sales staff, and collaborate with operations on trade processing and controls while

Qualifikationen

• Current SFC Responsible Officer qualification for Type 1 and Type 4, or immediately eligible.
• Senior sales experience in securities brokerage with proven client base and revenue track record.
• Strong knowledge of SFC regulatory requirements and securities sales compliance.
• Experience mentoring small teams in a lean environment.
• Fluency in English and Mandarin required; Cantonese an advantage.
• Type 2 RO qualification is advantageous but not mandatory.

Aufgaben

• Lead and grow the securities business, including client acquisition, sales strategy, and revenue generation.
• Act as Responsible Officer for Type 1 and Type 4 regulated activities; ensure compliance with SFC requirements.
• Supervise dealing and advisory activities, including client onboarding, suitability, and sales conduct.
• Manage and mentor a team of CS, operations and sales colleagues
• Work closely with operations on trade processing, account servicing, and control matters.
• Monitor business risks and escalate issues appropriately; maintain strong regulatory and internal governance standards.

Kenntnisse

Client acquisition

Revenue generation

Sales strategy

Team mentoring

Regulatory compliance

Risk management

Jobbeschreibung

Be Myjob Company Limited in Hong Kong is seeking an experienced Responsible Officer to oversee Type 1 and Type 4 regulated activities. You will lead and grow the securities business, drive client acquisition and revenue strategy, and ensure strict adherence to SFC requirements.

You will supervise dealing and advisory activities, oversee onboarding and suitability, mentor a lean team of CS, operations and sales staff, and collaborate with operations on trade processing and controls while