Responsible Officer Type 1 & 6


Job ref.:

1 Apr 2019


Hong Kong




The client:

  • A HK listed securities and investment company


What can the client offer?

  • Valuable experience from a listed company with excellent career path


What are your responsibilities?

  • Act as the Responsible Officer to supervise and manage SFC 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

  • Conduct in-depth investment research and analysis, analyze portfolio performance and monitor investment risk


What skills/ qualification will you need?

  • Degree holder in Finance, Accounting or related disciplines

  • At least 8 years of experience in Corporate Finance, FA/IFA, M&A projects activities

  • Current holder of SFC Type 1 & 6 Responsible Officer License

  • Sound knowledge of SFO, SFC Code of Conduct, regulations of relevant regulatory authorities

  • Good command in English, Cantonese and Mandarin

Who would be suitable for the position?

  • Able to handle multiple tasks and meet tight deadlines

  • Strong analytical, problem solving and people management skills

Apply here

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