SFC Type 1/4/9 Responsible Officer

CEB International Investment Corporation Limited; Hong Kong; On-site; HKD 2,000,000 - 2,800,000; Full time

Job summary

CEB International Investment Corporation Limited (CEBI) seeks an experienced executive to serve as the firm's SFC Type 1, 4 and 9 Responsible Officer (RO). You will oversee asset management operations ensuring full compliance with the SFO and SFC guidelines, while developing and updating operation manuals.

You will formulate investment strategies, supervise trading activities, and lead a team delivering a full spectrum of asset management services including private funds and cross-border

Qualifications

• Bachelor’s degree or higher in a related field.
• SFC RO status for Type 1, 4 and 9 is required or preferred.
• 8+ years in asset management with at least 3 years in leadership.

Responsibilities

• Oversee and ensure full regulatory compliance of asset management operations.
• Develop and update operational manuals for compliance.
• Formulate investment strategies and supervise trading activities.
• Lead client relationship development with banks and fund houses.

Skills

Regulatory compliance

Leadership

Client development

Written communication

Education

Bachelor's degree

CFA/CPA/FRM qualifications

Tools

SFC RO licenses

Job description

Asset Management, VP to Director (RO 1,4,9)

Serve as the firm's SFC Type 1, 4 and 9 Responsible Officer (RO), overseeing and ensuring full compliance of the company's asset management operations.

Manage day-to-day operations to ensure all corporate activities fully comply with the Securities and Futures Ordinance (SFO) and the codes and guidelines issued by the Securities and Futures Commission (SFC) of Hong Kong.

Develop, review and update operational manuals to maintain full regulatory compliance.

Formulate investment strategies and supervise investment and trading activities for the firm and its clients.

Lead the delivery of a full spectrum of asset management services, including equity investment, fixed income investment, private funds and cross-border investments; take charge of product structuring and drive project implementation.

Lead the team to retain and expand client relationships, including building in-depth collaboration with banking branches and developing external channels such as fund houses, third-party wealth management firms, and asset management companies.

Requirements

Bachelor’s degree or above in Finance, Economics, Law, Accounting or other related disciplines; possession of professional qualifications including CFA / CPA / FRM is preferred.

Hold SFC Responsible Officer status for Type 1, Type 4 and Type 9 licences, with over 8 years of working experience in asset management, including a minimum of 3 years of team management experience.

Well-versed in various asset management products (in particular private funds, bank wealth management products, cross-border investment products, etc.), with strong logical analysis and written communication skills.

Demonstrate strong awareness of risk and compliance, as well as solid leadership, decision‑making, client & market business development, communication, and coordination capabilities.

CEB International Investment Corporation Limited (CEBI) is a wholly‑owned subsidiary of China Everbright Bank, one of the leading banks in China.

A key strategic component of the parent bank's global development, we aimed to provide a comprehensive suite of financial services including capital markets, securities broking, corporate finance and asset management As one of the most important overseas business platform of China Everbright Bank, we strives to be a modern and comprehensive financial institution with leading position in the Greater China Region.

People are the key to our success. We commit to develop our people. We offer you excellent opportunities for career and professional development with full support training and job exposure. To support our business growth, we are seeking high calibre professionals to join our dynamic team to help us scale new heights.

What can I earn as a Responsible Officer