SM / Manager (Responsible Officer, SFC-Type 6)

Roles & Responsibilities

• Act as a SFC licensed Responsible Officer (RO) for business relating to SFC Type 6 regulated activities, 
• Ensure all business activities and corporate finance operations are strictly adhere to SFC rules & regulations, relevant policies and procedures and statutory frameworks.
• ​Provide strategic direction and hands-on execution for corporate finance transactions and financial advisory mandates.  
• Cultivate & maintain relationships with corporate clients, institutional investors and regulatory authorities.   
• Act as an advisor to clients, navigating them through capital market regulations and structural challenges
• Evaluate project risks, formulate and optimize internal control workflows and establish robust compliance review mechanisms to mitigate operational and regulatory risks.

Requirements

• University graduate in Business Administration, Finance or other business-related disciplines 
• Minimum 6 years’ relevant experience in financial services industry  
• Preferably an existing Responsible Officer of the licensed corporation which conducts the SFC regulated activities
• Demonstrate a strong knowledge on the products / markets of the regulated activities, strong understanding with SFO, SFC Code of Conduct and other applicable regulatory requirements
• Solid experience in corporate finance transactions (IPOs, Listing Rules and /or Takeovers Code related transactions, rights issue or share offerings)
• Good analytical, problem-solving, communication and interpersonal skills 
• Excellent command of both spoken and written Chinese and English, including Mandarin