Responsible Officer (Fund Management-Type 9)

Key Responsibilities

• 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);
• 6 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.