Responsible Officer (SFC Type 1)

Bjak

2d

About The Position

Doit is seeking an accomplished Responsible Officer (RO) to help launch its securities business, from the Type 1 licence application through ongoing supervision. The RO will be part of the management team alongside the Executive Director and another RO, taking primary responsibility for day-to-day supervision and ensuring securities operations comply with SFC regulations. This is a pivotal role for a professional who combines meticulous compliance expertise with a builder’s mindset.

The role involves supporting the Type 1 application, supervising customer introductions, solicitation and order handling within the permitted business scope, and overseeing licensed staff and customer communications. The RO will operate controls with compliance and relevant teams, monitor brokerage partner services and customer hand-offs, and work with product and engineering teams to review app journeys and AI features. The position shares supervisory coverage with the other RO and supports regulatory enquiries, inspections, incident escalation, staff training and corrective action.

The successful candidate will shape the day-to-day operations of a new securities business, work directly with management and product teams, and help connect investing with Doit’s broader payments and FX offering. The candidate must be based in Hong Kong and available to fulfil the role. 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 experience supervising securities activities, staff or relevant financial-services projects, with the judgement to identify and resolve control weaknesses.
• 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 available to fulfil the role.
• Communicate clearly in English.

Nice To Haves

• Cantonese and Mandarin language skills.
• Experience in digital brokerage, introducing or distribution businesses, partner integrations, SFC applications or inspections.

Responsibilities

• Support the Type 1 application by developing operational procedures, supervision plans and evidence for SFC submissions and enquiries.
• Supervise customer introductions, solicitation and order handling within the permitted business scope.
• Oversee licensed staff and customer communications.
• Operate controls for onboarding coordination, suitability where applicable, AML/CFT, conflicts, complaints and recordkeeping with compliance and relevant teams.
• Monitor brokerage partner service and customer hand-offs, investigate exceptions, and ensure responsibilities for execution, settlement and custody remain clear.
• Work with product and engineering teams to review app journeys and AI features, test controls before launch, and address operational issues after release.
• Share supervisory coverage with the other RO and support regulatory enquiries and inspections.
• Drive incident escalation, staff training and corrective action.

What This Job Offers

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