Responsible Officer (SFC Type 1)
About this role
About Doit
We are focused on reinventing how people spend, save, invest, exchange, travel, and more. Our objective is to build tools that will help people get more from their money and and become an expert at ease. We believe AI will help make finance smart, assessible and safe.
We are looking for the most talented and driven people we can find. We are looking for people who work for their passion, not counting hours. Who loves building great next-generation products, not status quo. Who cares about redefining how everyone around us can get the best financial applications, not for an exclusive few. We have teams working around the world, with over 20 nationalities and growing from our offices and remotely. Join us and build a better future for our society.
In 2019, we built the first mobile-first, insurance platform, enabling insurance to be accessible online by millions in the region. Today, it's the leading insurance platform in Southeast Asia.
About the role
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.
Experience and 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.
Why join Doit
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.
Please include your CV, SFC CE number if applicable, current licence conditions and availability. RO appointment and regulated operations are subject to SFC approval.
Originally posted on Himalayas
