Responsible Officer Type 6 - Corporate Finance | Corporate Advisory

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Top Pool Human Capital Limited
  • 22 Jan 18 2018-01-22

Act as Responsible Officer to supervise the duties of the SFC Type 6 Hong Kong regulated activities. Strong Network in Deal Sourcing and capital financing projects. Solid experience in Pre-IPO, IPO, Hong Kong Listing Rules, Regulations, M&A and Investment projects, etc

Our client, a well-established growing Financial Group with SFC Type 1, 4 ,9 business across Hong Kong and China. Due to expansion, they actively hiring for a corporate finance professional with solid experience and able to develop new business to join the dynamic team.


  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
  • Originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
  • 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;
  • Assist in handling compliance cases and complaints;
  • Assist in communicating with regulatory bodies;



  • Degree or Master Degree holder with relevante professional qualifications
  • With 5-8+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities
  • You need to be analytical and demonstrate strong financial modelling and Excel skills
  • Possess sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines (including The Codes on Takeovers and Mergers and Share Buy-backs), regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 6 RA preferred
  • Prior regulatory relationship management experience is preferred
  • Strong leadership, analytical, communication and presentation skills
  • Fluency in both written and spoken in Chinese, Mandarin or English
  • Willing to travel when needed


**Interested party, please send CV in ENGLISH WORD FORMAT plus current and expected salary to me for a private discussion. ** (Ref :CL)


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