About the Role: We are representing a dynamic and growing Investment Bank in search of a highly experienced Corporate Finance professional to act as a Sponsor Principal. Special Note: While an active Sponsor Principal status is preferred, the firm is fully committed to sponsoring and supporting the SFC registration process for candidates whose Principal status is currently inactive or lapsed, provided they meet the SFC's eligibility criteria for reinstatement.
Key Responsibilities:
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Statutory Role: Act as the statutory Signing Principal for Hong Kong IPO assignments once the SFC registration is completed.
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Deal Execution & Oversight: Take overall responsibility for IPO executions, financial advisory, and M&A transactions. Ensure robust due diligence and prospectus quality.
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Regulatory Interface: Liaise directly with the HKEX and SFC, resolving regulatory queries and ensuring full compliance with the Listing Rules and Takeovers Code.
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Team Leadership: Lead, mentor, and manage the execution team, ensuring efficient project delivery and stringent risk control.
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Business Development: Support senior management in pitching new mandates and maintaining strong relationships with clients and professional parties.
Requirements:
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Experience: Minimum 10 years of solid Corporate Finance / IBD experience in Hong Kong with a strong track record of completed HK IPOs.
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Licensing Eligibility (Crucial):
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Current SFC Type 6 RO with active Sponsor Principal status; OR
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Previously held a Sponsor Principal status (but currently inactive/lapsed) with the ability to be reinstated.
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Candidates who have met the recent IPO transaction requirements and are ready to apply for the Principal status will also be strongly considered.
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Education: Bachelor’s degree or above in Finance, Accounting, Law, or a related discipline.
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Languages: Excellent command of written and spoken English and Mandarin.
