Responsible Officer (Type 6)

Responsibility

• Act as SFC Responsible Officer (RO) for Type 6 regulated activities, supervising and overseeing all corporate finance advisory work to ensure full regulatory compliance with SFC guidelines and the Securities and Futures Ordinance
• Liaise with external professional parties (legal advisors, financial advisors, auditors, etc.) and communicate with relevant authorities, including the Securities and Futures Commission of Hong Kong (“SFC”) and the Hong Kong Stock Exchange (“HKSE”), throughout project execution
• Maintain and manage firm’s regulatory obligations, compliance policies, and risk controls for Type 6 activities
• Support and oversee the execution of M&A and other corporate finance advisory projects
• Work closely with the internal team, clients, auditors, legal counsel, and other professional parties to deliver high-quality advisory services

Requirements

• Degree holder in accounting, finance, or law is preferred
• SFC Licensed Responsible Officer for Type 6 (Advising on Corporate Finance) with a clean regulatory record
• Minimum 5+ years of relevant corporate finance experience (IPO, M&A, capital raising, financial advisory)
• Sound knowledge of SFC regulations, HKEX listing rules, and relevant laws and regulations
• Able to support the Company in its licensing application process for a full Type 6 licence
• Good command of spoken and written English, Mandarin and Cantonese
• HKCPA, CFA, or other relevant professional qualifications are highly desirable
• Excellent communication and interpersonal skills; able to work independently with flexibility

Interested parties please send your resume with expected salary and availability by clicking "Apply Now". All personal data collected will be used for recruitment purpose only.