Responsible Officer (SFC Type 1)

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.

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

Requirements

Current or recent Type 1 RO experience is strongly preferred, or demonstrable eligibility for SFC approval; 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

Nice to have

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