Responsible Officer (SFC Type 1)

The role

You will lead the launch of a securities business from Type 1 licence application through ongoing supervision. You will work with the management team to ensure securities operations comply with SFC regulations.

What you will do

• 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, AML/CFT, conflicts, complaints and recordkeeping.
• 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.
• Support regulatory enquiries and inspections, and drive incident escalation, staff training and corrective action.

Required qualifications

• 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
• 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.
• Meet SFC fit-and-proper requirements.
• Be able to supervise the proposed business independently.
• Be based in Hong Kong.
• Communicate clearly in English.

Nice to have

• Current or recent Type 1 RO experience
• Candidates demonstrably eligible for SFC approval
• Cantonese and Mandarin are advantageous
• Experience in digital brokerage, introducing or distribution businesses, partner integrations, SFC applications or inspections

Before you apply

• All licence conditions and external appointments must be disclosed.
• Include CV, SFC CE number if applicable, current licence conditions and availability.
• RO appointment and regulated operations are subject to SFC approval.

About the company

Doit is focused on reinventing how people spend, save, invest, exchange, and travel. They built the first mobile-first insurance platform, which is the leading insurance platform in Southeast Asia.