Responsible Officer SFC Type 6 / Type 9

  • Commensurate with experience
  • Hong Kong
  • CDI, Plein-temps
  • ZH GlobalExec Resources Ltd
  • 12 janv. 18 2018-01-12

Our client is a Main-Board-listed securities house in Hong Kong, with the ambition to set up a full-fledged IBD with M&A capability, a comprehensive range of product offerings as well as Research. The vision is to utilise its platform and be incorporated into its FinTech/online Wealth Management counterparts to serve the vast client base both in China and overseas.

Job Details:

Corporate Finance SFC Type 6 

  • Act as Responsible Officer to manage and supervise SFC Type 6 regulated activities
  • Responsible for exploring and assessing potential IPO and corporate finance transactions, conducting due diligence, preparing pitch books and documentation
  • Advising on and leading execution on takeovers, mergers, amalgamations, acquisitions, disposals, rights issuance, equity placements and other fund-raising exercises with full regulatory compliance
  • Participate and contribute to the strategic planning for various business units of the company
  • Liaise with professional parties and communicate with relevant authorities, including coverage bankers, Research department and SFC 

Asset Management SFC Type 9 

  • Act as Responsible Officer to manage and supervise SFC Type 9 regulated activities
  • Develop Strategies, supervise and implement the Company's business either securities, commodities, portfolio management and Asset Management
  • Provide advice on the securities matters and support the Management on strategic planning and project implementation
  • Participate and contribute to the strategic planning for various business units of the company
  • Involve in the marketing planning, business development, capital raising projects, etc
  • Independently manage the portfolio, conduct research analysis to support portfolio decisions.
  • Develop business and client acquisition, promote the company and business.

Profile:

  • Holder of SFC Responsible Officer licence for Type 6 / Type 9 and Principal status
  • A minimum of 10 years of relevant working experience in Corporate Finance in Hong Kong and the PRC
  • Sound knowledge of regulations and guidelines of relevant regulatory authorities and risk management control
  • Holder of Bachelor degree or above, major in Finance or related disciplines
  • Possess an entrepreneurial mindset, excellent interpersonal and organizational skills, with strong sense of responsibility; ability to multi-task and work under pressure
  • Good command of both written and spoken Chinese (Mandarin) and English