New Job Opening: Responsible Officer - Type 1 in HK

Job Description

The Opportunity

A growing financial technology business is establishing a new securities operation in Hong Kong and is seeking an experienced Responsible Officer (RO) to support its launch and ongoing development.

Working alongside senior management, you will play a key role in the Type 1 licence application, regulatory compliance and day-to-day supervision of securities activities.

This is an opportunity for a hands-on regulatory professional to help build and oversee a new regulated financial services business.

Key Responsibilities

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  Support the SFC Type 1 licence application, including regulatory submissions, operational procedures and supervisory frameworks.

  
  


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  Oversee day-to-day securities activities, ensuring compliance with SFC requirements and regulatory standards.

  
  


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  Supervise licensed staff, customer introductions, solicitation and order handling within the approved business scope.

  
  


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  Establish and maintain controls covering onboarding, AML/CFT, suitability where applicable, conflicts of interest, complaints and recordkeeping.

  
  


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  Monitor third-party brokerage arrangements and ensure effective operational oversight.

  
  

Experience & Requirements

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  Current or recent SFC-approved Responsible Officer for Type 1 regulated activity strongly preferred. Candidates demonstrably eligible for SFC approval will also be considered.

  
  


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  Meet applicable SFC competence and fit-and-proper requirements, typically including three years of relevant industry experience within the preceding six years and two years of management experience, subject to the relevant eligibility pathway.

  
  


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  Relevant academic or professional qualifications and applicable regulatory examination requirements.

  
  


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  Proven experience supervising securities activities, licensed personnel or regulated financial services operations.

  
  


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  Hong Kong-based with excellent English & Cantonese communication skills. Mandarin is advantageous.

  
  

Desirable Experience

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  Background in digital brokerage, online trading or fintech.

  
  


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  Experience with SFC licence applications, regulatory inspections or establishing regulated businesses.

  
  


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  Exposure to digital investment platforms, third-party brokerage integrations or AI-enabled financial services.