SFC RO (Types 1,4,9) — Regulation & Compliance Lead

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

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.