Responsible Officer (RO) - Type 4 & 9 Licensed under SFC

Rui Feng Asset Management Limited; Hong Kong; On-site; HKD 1,000,000 - 1,350,000; Full time

Job summary

Rui Feng Asset Management Limited is seeking a Responsible Officer (RO) for SFC Type 4 and Type 9 regulated activities in Hong Kong. The role requires coordinating regulatory inquiries, applications, and renewals, and leading the company's compliance program.

The successful candidate will oversee fund operations, conduct lifecycle compliance reviews, and supervise a compliance team while ensuring adherence to SFC and SFO requirements.

Qualifications

• Experience in asset management compliance and SFC requirements.
• Strong knowledge of SFO and SFC codes of conduct.
• Excellent risk judgment and communication skills.

Responsibilities

• Act as RO for SFC Type 4 & 9 licensed activities, ensuring regulatory compliance.
• Lead liaison with SFC for inquiries, applications, renewals, and FRR filings.
• Develop and maintain compliance and internal control framework (AML, conflicts, information barriers, client suitability).
• Oversee fund operations (valuation, subscriptions, redemptions) for accuracy and compliance.
• Conduct compliance reviews across fund product lifecycle; review contracts and offering documents.
• Lead compliance team and organize CPT for licensed staff.
• Provide guidance on client inquiries regarding funds and operations.
• Support market research, prepare investment reports and marketing content.
• Undertake other compliance and supervisory duties as assigned.

Skills

Bilingual (Chinese & English)

Leadership

Regulatory liaison

Regulatory compliance

Education

Bachelor’s degree or above in Economics/Finance/Law/Accounting

Job description

Responsible Officer (RO) - Type 4 & 9 Licensed under SFC

Serve as the company's Responsible Officer (RO) for Type 4 and Type 9 (Asset Management) regulated activities, ensuring all licensed business operations comply with SFC requirements.

Key responsibilities

Act as the primary liaison with the Securities and Futures Commission (SFC), coordinating regulatory inquiries, inspections, license applications, renewals, and FRR filings.

Develop, implement, and maintain the company's compliance and internal control framework, including AML, conflict of interest management, information barriers, and client suitability policies

Supervise core fund operations such as valuation, investor subscriptions, and redemptions, ensuring accuracy and compliance

Conduct compliance reviews across the full lifecycle of fund products (design, fundraising, investment, trading, disclosure); review contracts and offering documents to ensure adherence to regulatory standards

Lead the compliance team, organize company-wide compliance training and Continuous Professional Training (CPT) for licensed staff, ensuring regulatory requirements are met

Provide professional guidance on client inquiries regarding fund products and operational rules

Support market and industry research, prepare investment reports, roadshow materials, and marketing content as needed

Undertake other compliance and supervisory duties assigned by the company

Requirements

Valid Hong Kong SFC Type 4 & 9 RO licenses, with no adverse regulatory or disciplinary records; must meet SFC "fit and proper" criteria

At least 5 years of relevant asset management experience in Hong Kong's financial industry, including a minimum of 2 years in a managerial role

Bachelor's degree or above from a reputable institution in Economics, Finance, Law, Accounting, or related fields

Strong knowledge of the Securities and Futures Ordinance (SFO) and SFC codes of conduct; familiar with AML and KYC processes

Excellent risk judgment, communication, and coordination skills; responsible, detail-oriented, and capable of team leadership

Proficient in bilingual communication (Chinese & English) and trilingual fluency (Putonghua, English, and Cantonese)

Must have legal work rights in Hong Kong