- SFC-licensed Responsible Officer (RO)
- Snr Mgmt Role -oversight Type 1, 4 & 6 activities
- Promising & Rewarding Career
Our Client
With Hong Kong reclaiming its throne in the global IPO market and its deep liquidity, our clients are seeking for experienced, committed and hands on leaders as SFC-licensed Responsible Officer (RO) overseeing Type 1, 4, and 6 regulated activities. While actively managing the execution and origination of corporate finance transactions.
Job Duties
Regulatory & Compliance Leadership (RO Duties):
- Reporting directly to the Managing Partner, you will bridge top-tier regulatory oversight with dynamic business growth.
- Act as an SFC RO to supervise the firm's Type 1, 4, and 6 regulated activities.
- Oversee daily operations to guarantee absolute compliance with SFC codes, the HKEX Listing Rules, the Takeovers Code, and all applicable legal frameworks.
- Formulate, review, and update internal operational policies and procedures; serve as the primary liaison with the SFC and HKEX.
Transaction Execution & Project Management:
- Lead and execute a broad spectrum of corporate finance mandates, including IPOs (acting as Sponsor Principal), M&A, financial advisory (FA/IFA), compliance advisory (CA), and capital raising.
- Direct end-to-end deal processes: perform due diligence, market research, financial modeling, and investment evaluations.
- Take independent ownership of transaction documentation, internal approvals, and regulatory submissions.
Team Guidance & Operations:
- Supervise, mentor, and resource junior execution staff to ensure optimal project delivery.
- Manage deal-specific staffing requirements and implement best-practice documentation across all workflows.
Business Development & Client Management:
- Drive client relationship management and participate actively in marketing, client pitches, and deal structuring.
- Identify new business opportunities, assess potential deals, and generate actionable ideas for the team.
Requirements
Licensing: Current holder of SFC Type 1, 4, and 6 Responsible Officer licenses. Must qualify as a Sponsor Principal under current regulations.
Experience: A minimum of 5 to 8 years of solid, hands-on corporate finance experience. A proven and steady track record of successfully closed IPO and M&A transactions in Hong Kong.
Education: Bachelor’s degree or higher in Finance, Economics, Business, or a related discipline.
Key Skills: Demonstrated confidence and experience interacting directly with the SFC and HKEX. Strong analytical mind with robust financial modeling, presentation, and interpersonal skills. Ability to thrive under pressure in a fast-paced environment.
Languages: Complete professional proficiency in written and spoken English and Chinese (including fluent Mandarin).
- Boutique Asian Private Equity incorporated for 20 yrs
- EA to AP Managing Partner Investment Deal Team
- Multicultural & Professional Environment
- As the Executive Assistant, report to the founding member in charge of Investment Deal Team
- Responsible for calendar management & travel arrangement
- Manage intensive meeting schedule, setting up of VC & calls with external clients & senior management across the region & headquarters
- Solid PA exposures to C-Suites
- Promising platform
- Multicultural Exposures
The ideal candidate will be responsible for managing the Chairman's personal, family, and business affairs, ensuring smooth day-to-day operations and enabling the Chairman to focus on key strategic priorities. This is a unique opportunity to work closely with an influential business leader, especially in the Greater China region and be involved in various aspects of their professional and personal life.
- Coordinate the Group Chairman's personal & business schedules and appointments, ensuring seamless coordination with internal and external stakeholders.
- Organize domestic and international travel arrangements, including work visas, flights, accommodations, and transportation.
- Provide personal support to the Chairman, including managing personal errands, appointments, and family-related matters.
- Alternative Investment Specialist & Active Advisory
- Prestigious Global Private Bank & Asset Mgmt
- Rewarding Career with Competitive Benefits
- As part of the regional and global investment & product solution team to consult & drive alternative & active investment strategies
- Understand clients’ investment & risk appetite and provide customised investment strategies by fully collaborating with investment counterparts in HQ, Europe and Asia
- Offer timely insights across macro and secular themes to facilitate clients' investment decisions & portfolio review
- Regional Private Market Product Coverage
- Established Global Private Banking Franchise
- Leadership Function to Spearhead PE Penetration
- As part of the Strategic Direct Investment Advisory Regional Team
- Accountable for shaping PE strategies and increasing the penetration of PE solutions
- Work in partnership with bankers and investment professionals from advising PE investment opportunities, asset allocation to on-going portfolio monitoring in accordance to clients’ investment & risk appetite along