Responsible Officer (SFC Type 4 & 9)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Lifan International (Holding) Limited
  • 12 Feb 18 2018-02-12

Our company is an investment hub of a listed group on Shanghai Exchange. To cope with business expansion, we are establishing a licensed corporation in Hong Kong. And we are seeking for a RO to join our company for the following position servicing in asset allocation, investment advisory and fund management.

Job Responsibilities:

  • Act as Responsible Officer with management responsibilities and duties to supervise SFC Type 4 and 9 regulated activities
  • Assist in writing, reviewing and maintaining proper documentation of all operations, policies and procedures
  • Supervise and manage daily operations to ensure full regulatory compliance
  • Conduct the investment research and issue report to the clients
  • Provide investment advisory services to the professional investors
  • Provide discretionary investment management services to the professional investor
  • Provide investment management services to private funds
  • Comply with all applicable laws, rules and regulations and standard of good market practices
  • Provide assistance in communications with SFC and other regulators
  • Perform other duties as assigned


  • Degree holder or above in Finance, Business or¬†relevant disiplines
  • Minimum 3 years' related working experience.
  • Minimum 2 years' managerial working experience.
  • Current holder of SFC Responsible Officer licensed for Type 4 and 9 regulated activities
  • Sound knowledge of SFC regulations and risk management control
  • Ability to work under pressure, with strong analytic, leadership, presentation and interpersonal skills
  • Good command of spoken and written English and Chinese (including Mandarin)

We offer competitive remuneration package, attractive career prospect and excellent fringe benefits including 5-day work, medical & dental scheme and discretionary bonus.