Executive Director, Responsible Officer – SFC Type 1

BJAK

. Lead the Type 1 application with management, compliance and legal advisers, including the business plan, supervisory arrangements and responses to SFC enquiries.

Posted 11/6/2026full-timeRemote • Hong KongLeadWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive Type 1 regulatory oversight and leadership in the securities industry, with a strong focus on compliance, risk management, and operational excellence. Proven ability to translate regulatory requirements into actionable business strategies while effectively supervising licensed staff and managing stakeholder relationships.

Highest-signal resume keywords

Type 1 Regulatory OversightSFC Compliance ManagementSecurities Leadership ExperienceDigital Brokerage PlatformsExecutive Board Appointment

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ReportingAML/CFT ComplianceSales Conduct ControlsOnboarding ProcessesOrder HandlingExecution ManagementSettlement ProceduresCustody OperationsRisk ManagementBusiness Planning

Soft Skills

Clear CommunicationSound Regulatory JudgementLeadershipSupervisory Accountability

Tools & Technologies

Digital OnboardingTrading JourneysAI Features

Certifications & Qualifications

SFC RO Competence RequirementsType 1 Examination Qualifications

Industry Keywords

Securities BusinessBrokerage PartnershipsSFC ApplicationsInspectionsHong Kong Regulatory Environment

About the role

Key responsibilities & impact

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.
Shape a new securities business from the outset and connect investing with Doit’s broader payments and FX offering.

Requirements

What you’ll need

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.