Executive Director and Responsible Officer (SFC Type 1)

Bjak

3d

About The Position

Doit is seeking an accomplished Responsible Officer to lead the launch of its securities business, from the Type 1 licence application through ongoing supervision. The role joins the board and leadership team to build a digital investing service, with primary responsibility for managing, supervising, and ensuring the compliance of securities operations with SFC regulations. It combines regulatory expertise with hands-on business building.

The role will lead the Type 1 application alongside management, compliance, and legal advisers; establish the operating model and oversee brokerage partnerships; and directly supervise the Type 1 business and licensed staff. It will also work with product and engineering teams to translate regulatory requirements into digital onboarding, trading journeys, and AI features; oversee business risks, resources, and regulatory reporting; and lead regulatory engagement and remediation of incidents, control weaknesses, and audit findings.

This is an opportunity to shape a new securities business from the outset and connect investing with Doit's broader payments and FX offering. RO appointment and regulated operations are subject to SFC approval.

Requirements

• Current or recent Type 1 RO experience is strongly preferred; candidates demonstrably eligible for SFC approval will also be considered.
• Meet SFC RO competence requirements, normally including three years of relevant industry experience in the past six years and two years of management experience, subject to the applicable eligibility pathway.
• Hold relevant academic or professional qualifications and meet applicable Type 1 examination, training, or exemption requirements.
• Bring hands-on securities leadership experience, sound regulatory judgement, and the ability to take an executive board appointment with real supervisory accountability.
• Meet SFC fit-and-proper requirements and be able to supervise the proposed business independently.
• Disclose all licence conditions and external appointments.
• Be based in Hong Kong and be available to fulfil the role.
• Communicate clearly in English.

Nice To Haves

• Cantonese and Mandarin language skills.
• Experience launching a licensed business, managing SFC applications or inspections, and working with digital brokerage platforms or introducing models.

Responsibilities

• Lead the Type 1 application with management, compliance, and legal advisers, including the business plan, supervisory arrangements, and responses to SFC enquiries.
• Set the operating model and oversee brokerage partnerships, defining responsibilities for onboarding, order handling, execution, settlement, and custody.
• Directly supervise the Type 1 business and licensed staff, and establish controls for sales conduct, suitability where applicable, AML/CFT, conflicts, complaints, and records.
• Work with product and engineering teams on digital onboarding, trading journeys, and AI features, translating regulatory requirements into practical product decisions.
• Exercise board responsibilities, oversee business risks and resources, and work with finance and compliance on financial resources requirements and regulatory reporting.
• Coordinate coverage with the other RO, lead regulatory engagement, and ensure incidents, control weaknesses, and audit findings are addressed.

What This Job Offers

• Job Type: Full-time
• Career Level: Executive
• Education Level: No Education Listed