We are a well-established financial institution which carries out Type 1, Type 4 and Type 6  & 9 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 implement the 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 conditional/unconditional 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 is highly preferred.

We offer attractive remuneration package to the right applicants. Interested parties, please send full resume with current and expected salary and availability by clicking "Apply Now".

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