We are a well-established financial institution which carries out Type 1 (Dealing in securities), Type 6 (Advising on corporate finance) and Type 9 (Asset management) regulated activities. We are looking for high caliber candidates to join our team to meet with our business growth.

Responsibilities:

-         Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;

-         Originate new deals and to support existing deals;

-         Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;

-         Formulate, review and update the operational procedures to ensure full regulatory compliance

-         Establish proper documentation of all regulated activities;

-         Handle compliance cases and complaints;

-         Communicate with regulatory bodies;

Requirements:

-         An existing Responsible Officer with Takeover Code unconditional sole license under the SFC for Type 6 regulated activities

-         Solid experience in corporate finance transactions (IPOs, Listing Rules and /or Takeovers Code related transactions, rights issue or share offerings)

-         Strong network in deal sourcing and financing activities covering HK and China

-         Good understanding of Securities and Futures Ordinance, SFC Code of Conduct and compliance rules

-         University graduate with relevant professional experience

-         Good leadership, self-driven and entrepreneur mindset

-         Immediately available highly preferred