Principal RO Type 6 (IPO)
An established securities and asset management group in HK
Hong Kong, Hong Kong

Principal RO Type 6 (IPO) Description Key Responsibilities

  • Review and supervise SFC Type 6 regulated activities
  • Lead the projects and activities of corporate finance and advisory services, and participate in client servicing and marketing
  • Perform due diligence, investment evaluation and financial modeling for potential investors
  • Ensure the compliance of all applicable laws, rules and regulations, including the proper documentation of all operations, policies and procedures
  • Ensure full regulatory compliance by formulating, reviewing and update the operation procedures and liaise with SFC when necessary
  • Implement regulatory guidelines and codes
  • Ad-hoc duties upon request Requirements
  • SFC registered RO for Type 6 regulated activities
  • Degree or above in business related disciplines
  • At least 5 years’ solid experience in corporate finance and advisory services working experience
  • Vast knowledge of SFO, SFC Code of Conduct and rules
  • Strong analytical, leadership, interpersonal and presentation skills
  • Self-motivated and detail oriented skills and able to work independently
  • Proficiency in both spoken and written English and Chinese (including Putonghua) Country Hong Kong Company An established securities and asset management group in HK Salary US$200,000 -
  • US$350,000 Working Hours Full-Time Contract Permanent Categories Equities / Fixed Income / Treasury Industries null

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