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香港 Hong Kong, 中国
Onsite
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.
We are seeking an accomplished Responsible Officer (RO) to lead the launch of our securities business, from the Type 1 licence application through to ongoing supervision.
You will join the board as a core part of the leadership and management team to build a digital investing service, taking primary responsibility for managing, supervising, and ensuring the compliance of securities operations in accordance with SFC regulations. This is a pivotal leadership role for a professional who is both a meticulous compliance expert and a dedicated builder.
Lead the Type 1 application with management, compliance and legal advisers, including the business plan, supervisory arrangements and responses to SFC enquiries.
Set the operating model and oversee brokerage partnerships, with clear responsibilities for onboarding, order handling, execution, settlement and custody.
Directly supervise the Type 1 business and licensed staff; establish controls for sales conduct, suitability where applicable, AML/CFT, conflicts, complaints and records.
Work with product and engineering teams on digital onboarding, trading journeys and AI features, translating regulatory requirements into practical product decisions.
Exercise board responsibilities, oversee business risks and resources, and work with finance and compliance on financial resources requirements and regulatory reporting.
Coordinate coverage with the other RO, lead regulatory engagement and ensure incidents, control weaknesses and audit findings are addressed.
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 securities leadership experience, sound regulatory judgement and the ability to take an executive board appointment with real supervisory accountability.
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 launching a licensed business, managing SFC applications or inspections, and working with digital brokerage platforms or introducing models would be valuable.
Shape a new securities business from the outset, with direct access to decision-makers and the opportunity to 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.
