Securities RO & Regulatory Operations Lead

Doit; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Doit is seeking an accomplished Responsible Officer in Hong Kong to lead the launch of our securities business, from the Type 1 licence application through ongoing supervision. You will work closely with the Executive Director and RO, taking primary responsibility for daily supervision and ensuring securities operations comply with SFC regulations.

This pivotal role requires meticulous compliance expertise and hands-on governance across onboarding, suitability, AML/CFT, conflicts and

Qualifications

• Current or recent Type 1 RO experience strongly preferred.
• Eligible for SFC approval consideration.
• Meet SFC competence requirements with relevant industry and management experience.

Responsibilities

• Lead Type 1 application and ongoing supervision for the new securities business.
• Develop procedures, supervision plans and evidence for SFC submissions.
• Supervise licensed staff, customer communications and onboarding processes.
• Oversee AML/CFT, conflicts, complaints and recordkeeping with relevant teams.
• Coordinate with product and engineering to review app journeys and controls.

Skills

SFC compliance

Regulatory supervision

AML/CFT controls

Type 1 RO experience

Education

Academic or professional qualifications

Job description

Doit is seeking an accomplished Responsible Officer in Hong Kong to lead the launch of our securities business, from the Type 1 licence application through ongoing supervision. You will work closely with the Executive Director and RO, taking primary responsibility for daily supervision and ensuring securities operations comply with SFC regulations.

This pivotal role requires meticulous compliance expertise and hands-on governance across onboarding, suitability, AML/CFT, conflicts and