[Hiring] Responsible Officer @Bjak

Role Description

We are seeking an accomplished Responsible Officer (RO) to help lead the launch of our securities business, from the Type 1 licence application through to ongoing supervision. You will work as a core part of the management team alongside the Executive Director and 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 is both a meticulous compliance expert and a dedicated builder.

Key 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 the 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, support regulatory enquiries and inspections, and drive incident escalation, staff training and corrective action.

Qualifications

• 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. All licence conditions and external appointments must be disclosed.
• Be based in Hong Kong, with the availability to fulfil the role. Communicate clearly in English; Cantonese and Mandarin are advantageous.
• Experience in digital brokerage, introducing or distribution businesses, partner integrations, SFC applications or inspections would be valuable.

Benefits

• 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.

Application Instructions

Please include your CV, SFC CE number if applicable, current licence conditions and availability. RO appointment and regulated operations are subject to SFC approval.