Responsible Officer (Type 9 – Asset Management)

HONG KONG FUSHAN VAYU ENERGY TECHNOLOGY CO., LIMITED; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

HONG KONG FUSHAN VAYU ENERGY TECHNOLOGY CO., LIMITED is seeking a Responsible Officer (Type 9 – Asset Management) to oversee the company’s regulated asset management activities and ensure adherence to the SFO and SFC Code of Conduct, including risk and internal controls.

The RO will lead licensing, regulatory filings, and cross-border investment support, coordinating with Group Legal, Risk, Finance, and Business teams, and managing KYC/AML and fund compliance for offshore structures and energy

Qualifications

• Must hold Type 9 RO qualification with the Hong Kong SFC.
• 3–5 years of relevant asset management or financial services experience.
• Strong knowledge of SFO/SFC framework and regulatory requirements for asset management and private funds.
• Hands-on experience with KYC/AML, fund compliance, and cross-border investments.

Responsibilities

• Act as the Responsible Officer for Type 9 asset management and oversee regulated activities.
• Establish and maintain compliance policies, risk management framework, and internal control procedures per SFO/SFC requirements.
• Oversee day-to-day asset management operations, including investment processes, trade execution, and client asset management.
• Lead SFC licensing and ongoing regulatory compliance, including filings, reviews, and communications with the SFC.
• Provide compliance support for fund formation, cross-border investments, including offshore fund structures.
• Coordinate with Group Legal, Risk, Finance, and Business teams to provide compliance support for investment activities across data centers, renewable energy, and other asset projects.
• Coordinate with external auditors and professional advisors on statutory audits and regulatory matters.

Skills

KYC/AML

Regulatory compliance

Cross-border investments

Communication (English/Chinese)

Education

Type 9 RO qualification (SFC)

Job description

Responsible Officer (Type 9 – Asset Management)

Act as the Responsible Officer (RO) for Type 9 (Asset Management) regulated activity under the company’s SFC-licensed corporation, overseeing and managing the relevant regulated activities;

Establish, maintain, and continuously enhance the company’s compliance policies, risk management framework, and internal control procedures, ensuring compliance with the Securities and Futures Ordinance (SFO), SFC Code of Conduct, and other applicable regulatory requirements;

Oversee the day-to-day operations of the asset management business, including investment management processes, trade execution, client asset management, conflicts of interest management, and regulatory disclosures;

Lead SFC licensing and ongoing regulatory compliance, including license maintenance, regulatory filings, compliance reviews, and communication with the SFC and other relevant regulatory authorities;

Provide compliance support for fund formation, cross-border investments, and investment structuring, including offshore fund structures in Cayman Islands, Luxembourg, and other jurisdictions;

Work closely with the Group Legal, Risk, Finance, and Business teams to provide compliance and risk management support for investment and financing activities involving data centers (IDC), powered shell facilities, renewable energy, and other alternative asset projects;

Coordinate with external auditors and professional advisors on statutory audits, compliance reviews, and other regulatory matters.

Qualifications & Requirements

Must hold Type 9 Responsible Officer (RO) qualification with the Hong Kong Securities and Futures Commission (SFC);

3–5 years of relevant experience in asset management, private equity/funds, investment banking, alternative investments, or related financial services;

Strong knowledge of the Hong Kong SFC regulatory framework, Securities and Futures Ordinance (SFO), and regulatory requirements applicable to asset management and private funds;

Hands‑on experience in KYC/AML, fund compliance, cross‑border investments, and risk management;

Type 1 (Dealing in Securities) and/or Type 4 (Advising on Securities) RO qualifications would be an advantage;

Experience in energy, infrastructure, real estate, data centers (IDC), private equity, or other alternative asset investments/fund management is preferred;

Experience with Cayman Islands, Luxembourg, or other offshore fund structures, as well as cross‑border investment projects is preferred;

Excellent written and verbal communication skills in both English and Chinese, with the ability to communicate effectively with the SFC, external professional advisors, and cross‑border teams;

Strong compliance mindset, risk identification and assessment capabilities, independent judgment, and cross‑functional coordination skills.