Proposed SFC Responsible Officer (Types 1, 4 & 9)

CHAOFAN HOLDINGS GROUP LIMITED; Hong Kong; On-site; HKD 500,000 - 800,000; Full time

Job summary

CHAOFAN HOLDINGS GROUP LIMITED, a Hong Kong-based group undergoing expansion, seeks a Proposed Responsible Officer to oversee Types 1, 4 and 9 for a new licensed entity. The role involves close collaboration with the Board, management, and external advisers, and will depend on successful incorporation and SFC approvals.

You will lead licensing efforts, establish governance and internal controls, and ensure AML/CFT, KYC, and reporting requirements are met.

Qualifications

• Five+ years' hands‑on experience in securities or compliance roles.
• Strong knowledge of the Securities and Futures Ordinance and SFC Code of Conduct.
• Bilingual in English and Chinese; Mandarin required; Cantonese advantageous.

Responsibilities

• Join the project to establish and license the new Hong Kong financial-services company.
• Act as a Proposed Responsible Officer for Types 1, 4 and 9, subject to SFC approval.
• Work with the Board, management, compliance consultants, legal advisers, auditors and other professionals.
• Assist with the SFC applications, business plan, compliance manual, operational procedures, governance arrangements and internal controls.
• Participate in SFC communications and responses to regulatory enquiries.
• Establish compliance and risk controls for AML/CFT, KYC, CDD/EDD, suitability, conflicts of interest, client information, investment activities and regulatory reporting.
• Upon licensing, provide management and supervision of regulated activities and licensed representatives.
• Advise the Board on licensing, compliance, governance and regulatory risk.
• Support compliance monitoring, inspections, incident management and remediation.
• Promote a strong culture of integrity, compliance and responsible conduct.

Skills

SFC regulatory knowledge

English & Chinese proficiency

Regulatory experience in securities

Education

Relevant university degree

HKSI qualifications or regulatory exams

Regulatory exemptions recognised

Job description

Proposed SFC Responsible Officer (Types 1, 4 & 9)

Join a Hong Kong-based group undergoing business expansion as a Proposed Responsible Officer for a new regulated financial-services company. The new company will be incorporated in Hong Kong and intends to apply to the Securities and Futures Commission of Hong Kong for licences to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities.

Formal appointment as a Responsible Officer will be subject to incorporation of the new company, submission and progress of its corporate-licence application, and SFC approval of both the new company and the individual.

KEY RESPONSIBILITIES

• Join the project to establish and license the new Hong Kong financial-services company.
• Act as a Proposed Responsible Officer for intended Types 1, 4 and 9, subject to SFC approval.
• Work with the Board, management, compliance consultants, legal advisers, auditors and other professional parties.
• Assist with the SFC applications, business plan, compliance manual, operational procedures, governance arrangements and internal controls.
• Participate in SFC communications and responses to regulatory enquiries.
• Establish compliance and risk controls for AML/CFT, KYC, CDD/EDD, suitability, conflicts of interest, client information, investment activities and regulatory reporting.
• Upon licensing, provide management and supervision of regulated activities and licensed representatives.
• Advise the Board on licensing, compliance, governance and regulatory risk.
• Support compliance monitoring, inspections, incident management and remediation.
• Promote a strong culture of integrity, compliance and responsible conduct.

ABOUT YOU

• Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1, 4 and 9.
• Able to satisfy applicable SFC fit-and-proper, competence, experience and management-supervision requirements.
• At least five years of relevant hands‑on experience in securities dealing, securities advisory, asset management, compliance or related regulated activities.
• At least two years of relevant management or supervisory experience is strongly preferred.
• Sound knowledge of the Securities and Futures Ordinance, SFC Code of Conduct and requirements applicable to licensed corporations.
• Practical experience in SFC licensing, compliance manuals, AML/CFT, KYC, suitability, investment controls and regulatory reporting is highly desirable.
• Relevant university degree and HKSI qualifications, regulatory examinations or recognised exemptions.
• Strong integrity and a satisfactory regulatory and disciplinary record.
• Strong written and spoken English and Chinese; Mandarin is required and Cantonese is an advantage.
• Eligible to work in Hong Kong.
• Willing and able to serve as an Executive Director and/or Manager-In-Charge if required by the final governance structure.

ABOUT THE GROUP

CHAOFAN HOLDINGS GROUP LIMITED is a Hong Kong-based group undergoing business expansion. As part of the expansion, a new Hong Kong company will be incorporated to develop a regulated financial-services business.