Senior SFC Type 6 Responsible Officer

SFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...

Our client is a multi-asset class focused asset management company. Responsible Officer (Type 1 & 6) Responsibilities Act as core person to supervise SFC Type 1 & 6 regulated activities Formulate, review and update operations procedures in order ensure operational and regulatory compliance Conduct in-dept investment research and analysis, analyze portfolio...

Our client is a Leading Chinese Bank. They are looking for a RO Type 6 to join their team. Responsibilities Act as Responsible Officer to supervise SFC Type 6 regulated activities Responsible for origination and execution Provide advice on corporate finance transactions, which include IPO, M&A, issuing and underwriting equity securities and various types of...

Our client is a newly incorporated company aiming to apply for an SFC license to conduct Type 4 and Type 9 regulated activities in Hong Kong (not holding client assets, PI only). They plan to manage private fund investing in tokenized products. Currently, they are seeking 1 Responsible Officer to join their team. Candidates with experience in asset...

Responsible Officer - SFC Type (1 / 2 / 4 / 5 / 6 / 9) Add expected salary to your profile for insights Monitor the compliance functions of the Company and implement the necessary actions to ensure the compliance of all rules and regulations Manage daily operations, review and update policies and procedures to ensure in comply with rules and regulations...

Our client is an expanding listed investment firm. To cope with their expansion, they are now looking for a potential incumbent with an attractive package for the captioned opening. Responsibilities Define strategic planning to drive the business of Corporate Finance with the objective to maximize company interest and investment returns, including but not...

Roles & Responsibilities In-depth knowledge and experience of mergers and acquisitions, eligible to advise on Codes on Takeovers-related matters in a sole capacity (i.e. Takeovers Code Responsible Officer). Lead and execute syndication work for mergers and acquisitions, follow-on offerings, convertible bonds, and private placements etc; develop and execute...

Responsible Officer - Type 6 (Part Time) Our clients are corporate finance firms. We have multiple vacancies of Responsible Officers. Job Duties Manage the daily operations to ensure full compliance on corporate finance. Act as respective RO to supervise the respective regulated activities to ensure full compliances. Assist to develop, refine and implement...

Responsibilities Oversee Type 9 regulated activities (asset management) to ensure compliance with Hong Kong Securities and Futures Commission (SFC) regulations Manage daily operations, including trading, settlement, risk management, and client services, ensuring adherence to regulatory standards Perform regular AML and KYC checking of current and potential...

Our client is a newly incorporated company planning to apply for an SFC license to carry out Type 1, 4, 9 of Regulated Activities (hold client asset, PI only) in Hong Kong. Proposed business of the company include fund management, investment immigration, and OTC product distribution. They are currently seeking two Responsible Officers to join their team....