Responsible Officer (SFC Type 1/6/9)

Key Responsibilities

• Act as an SFC-approved Responsible Officer (Type 1, 6, and 9) to supervise regulated activities in full compliance with the Securities and Futures Ordinance (SFO) and relevant regulatory requirements.

• Oversee daily regulated operations, investment activities, corporate finance transactions, and dealing workflows.

• Formulate, review, and continuously optimize internal operational control procedures, risk management frameworks, and compliance guidelines.

• Maintain effective communications with the SFC, external auditors, legal counsel, and regulatory authorities.

• Deal Origination & Execution (Type 6): Lead or advise on corporate finance transactions, including IPOs, M&A, private placements, pre-IPO financing, and debt/equity capital market advisory.

• Asset & Portfolio Growth (Type 9): Drive the structuring, launch, and marketing of fund products ; partner with the investment team to evaluate potential transactions.

• Investor Relations & Fundraising (Type 1 / 9): Utilize your network of Institutional Investors, Family Offices, UHNWIs, and corporate clients to raise capital and grow Assets Under Management.

• Strategic Growth: Identify new business opportunities, strategic partnerships, and joint ventures to expand the firm’s revenue streams across primary and secondary markets.

Key Requirements

• Currently registered (or eligible for immediate re-registration) as an SFC Type 1, 6, or 9 Responsible Officer.
• Over 5 years of experience in investment banking, asset management, corporate finance, or private equity, with direct experience acting as a business originator or deal maker.
• Proven deal sheet in ECM/DCM, M&A advisory, capital raising, or successful fund creation/management in Hong Kong and Greater China.
• Outstanding balance of strict regulatory compliance awareness and deal-closing execution capabilities.
• Full compliance with SFC Management & Regulatory experience guidelines for Type 1, 6, or 9 activities (including relevant Hong Kong licensing examinations).
• Fluency in English and Mandarin (spoken and written) is required due to frequent interactions with regional corporates and mainland Chinese investors/clients.