We are seeking an experienced Responsible Officer (RO) to lead and oversee our HKSFC Type 1 (Dealing in Securities) and Type 4 (Advising on Securities) regulated activities.

In this pivotal role, you will drive business growth from the ground up, aligning our strategic vision with HKSFC regulatory standards. You will partner closely with internal cross-functional teams—business development, product, compliance, and technology—to construct a viable business plan, design innovative products, and manage key external partnerships (including exchange platforms and digital payment on/off-ramp vendors) to build a next-generation platform.

Key Responsibilities

1. Regulatory Leadership & Governance

• Regulatory Liaison: Act as the primary contact for the Securities and Futures Commission (SFC), external legal counsel, auditors, and key industry stakeholders to maintain a fully compliant operational framework.
• Compliance Framework: Establish, refine, and enforce robust internal control systems, operational workflows, and risk management policies aligned with SFC codes and guidelines.
• Ongoing Governance: Supervise post-licensure daily operations, ensuring strict adherence to the Securities and Futures Ordinance (SFO), Anti-Money Laundering (AML), and Counter-Financing of Terrorism (CFT) requirements.

2. Product & Business Strategy

• Strategic Business Planning: Collaborate with product and business leads to convert client needs and market opportunities into commercially sound, regulatory-compliant strategies.
• Platform & Infrastructure Development: Work alongside engineering and product teams to architect, test, and roll out the core technical platform needed to power licensed operations.
• Ecosystem Partnerships: Evaluate, negotiate, and integrate strategic external vendors, with a focus on digital payment on/off-ramp solutions to ensure seamless, compliant fund flows.
• Market Intelligence: Conduct market research, competitive bench-marking, and regulatory analysis to guide product roadmaps and support license applications.

3. Culture & Cross-Functional Alignment

• Cross-Functional Synergy: Serve as the bridge between technical, product, and compliance teams to ensure regulatory compliance is seamlessly embedded into product design from day one.
• Agile Startup Mindset: Champion an agile, innovative, and highly adaptive culture capable of responding swiftly to evolving market dynamics and regulatory frameworks.

Qualifications & Requirements

• SFC RO Status: Current or former SFC approval as a Responsible Officer (RO) for Type 1 and Type 4 regulated activities (unconditional RO status strongly preferred).
• Track Record: Proven track record in establishing compliance frameworks, managing SFC license applications, and overseeing daily regulated operations.
• Fintech & Web3 Experience: Familiarity with digital payment gateways, fiat/crypto on-and-off ramps, and modern trading technology platforms.
• Leadership: Exceptional cross-functional collaboration skills with the ability to articulate compliance requirements clearly to technical and product teams.
• Communication: Fluency in English and Chinese (Cantonese and/or Mandarin) required.