Executive Director, Responsible Officer – SFC Type 1

This is a fully remote position, open to applicants in Hong Kong.

📋 Description

• Oversee the Type 1 application alongside management, compliance, and legal advisors, which includes the business plan, supervisory frameworks, and responses to SFC inquiries.

• Establish the operating model and manage brokerage partnerships, ensuring clear responsibilities for onboarding, order management, execution, settlement, and custody.

• Directly supervise the Type 1 business and licensed personnel; implement controls for sales conduct, suitability where necessary, AML/CFT, conflicts, complaints, and documentation.

• Collaborate with product and engineering teams on digital onboarding processes, trading experiences, and AI functionalities, converting regulatory requirements into actionable product strategies.

• Fulfill board responsibilities, monitor business risks and resources, and coordinate with finance and compliance regarding financial resource requirements and regulatory reporting.

• Coordinate coverage with the other Responsible Officer (RO), lead regulatory interactions, and ensure that incidents, control deficiencies, and audit results are adequately addressed.

• Develop a new securities business from the ground up and integrate investing with Doit’s comprehensive payments and FX services.

⛳️ Requirements

• Current or recent experience as a Type 1 Responsible Officer is highly preferred. Candidates who are demonstrably eligible for SFC approval will also be taken into account.

• Must meet SFC Responsible Officer competence standards, typically requiring three years of relevant industry experience within the last six years, along with two years of management experience, in accordance with the applicable eligibility pathway.

• Possess relevant academic or professional credentials and fulfill the necessary Type 1 examination, training, or exemption criteria.

• Exhibit practical securities leadership experience, sound regulatory judgment, and the capability to assume an executive board role with genuine supervisory accountability.

• Comply with SFC fit-and-proper standards and be prepared to independently oversee the proposed business. All license conditions and external appointments must be disclosed.

• Must be located in Hong Kong and available to fulfill the role.

• Demonstrate clear communication skills in English; proficiency in Cantonese and Mandarin is a plus.

• Experience in launching a licensed business, managing SFC applications or inspections, and working with digital brokerage platforms or introducing models is advantageous.

🏝️ Benefits

• Competitive salary and performance-based bonuses.

• Opportunities for professional development and growth.

• Dynamic and inclusive work environment.

• Comprehensive health and wellness benefits.