Background Our client is a dynamic Singapore-headquartered investment bank with a growing presence in Hong Kong, offering a full suite of equity and fixed income products to institutional clients, corporates, and high-net-worth investors across Asia. The bank is expanding its Sales and Trading franchise in Hong Kong to capitalize on increasing market activity in equities, derivatives, and fixed income. Reporting to the Asia Head of Markets or Regional CEO, the Head of Sales and Trading will lead the overall business strategy, client coverage, trading operations, and revenue growth in a fast-paced, competitive environment while ensuring strict regulatory compliance.

Responsibility

• Develop and execute the strategic business plan for the Hong Kong Sales and Trading desk, focusing on equities, fixed income, derivatives, and cross-asset solutions to drive revenue and market share.
• Lead and manage a team of sales professionals, traders, and support staff to deliver superior client service, idea generation, and execution capabilities.
• Build and strengthen relationships with institutional clients, hedge funds, asset managers, corporates, and other key accounts in Hong Kong and Greater China.
• Oversee trading activities, liquidity provision, risk management, and position monitoring across equity, fixed income, and related products.
• Collaborate closely with research, origination, and other internal teams to provide integrated solutions and seamless cross-selling opportunities.
• Monitor market trends, volatility, and macroeconomic developments to identify trading and sales opportunities while managing market and credit risks effectively.
• Ensure full adherence to regulatory requirements, including SFC licensing rules, best execution, AML/CFT, and internal trading policies and procedures.
• Drive performance management, talent development, and succession planning for the Sales and Trading team.
• Provide regular business updates, P&L reporting, and strategic recommendations to senior management.

Requirement

• Bachelor’s degree or above in Finance, Economics, Business, or related disciplines; CFA or other relevant professional qualifications preferred.
• Minimum 12–15 years of relevant experience in Sales and Trading within an investment bank or brokerage, with at least 6–8 years in a senior leadership or head role covering equities and/or fixed income.
• Proven track record in building and growing a profitable Sales and Trading business in Hong Kong, with a strong existing client network among institutional investors in Asia.
• In-depth knowledge of equity and fixed income products, derivatives, execution strategies, and market microstructure in Asian markets.
• Sound understanding of Hong Kong regulatory frameworks (SFC Type 1, 2, and/or other relevant licenses or Responsible Officer experience highly preferred) and global best practices in risk management and compliance.
• Strong leadership and people management skills, with the ability to motivate teams and foster a high-performance sales and trading culture.
• Excellent communication, negotiation, and interpersonal skills; fluency in English and Mandarin (spoken and written) is mandatory; Cantonese is a strong advantage.
• High level of integrity, commercial acumen, and ability to operate effectively under pressure in a dynamic investment banking environment.

Background Our client is a well-established boutique hedge fund based in Hong Kong, specializing in long/short equity and fixed income strategies with a focus on Asia and global markets. The firm manages a growing portfolio of assets under management for institutional investors, family offices, and high-net-worth clients. Reporting directly to the Head of Asset Management / CIO, the Deputy Head of Asset Management will play a key leadership role in portfolio construction, investment strategy execution, team leadership, and performance oversight across equities and fixed income strategies in a dynamic, performance-driven environment.

Responsibility

• Support the Head of Asset Management in developing and implementing investment strategies for equities and fixed income portfolios, ensuring alignment with fund objectives and risk parameters.
• Lead day-to-day portfolio management, including stock selection, sector allocation, credit analysis, yield curve positioning, and relative value trades across equities and fixed income.
• Conduct in-depth fundamental research and quantitative analysis on investment opportunities in Asian and global markets.
• Oversee risk management processes, including position sizing, stress testing, VaR monitoring, and liquidity management to protect capital and optimize risk-adjusted returns.
• Mentor and manage a team of portfolio managers, analysts, and traders to foster a high-performance investment culture.
• Collaborate with the CIO and senior leadership on fund strategy, product development, and investor communications.
• Monitor macro-economic trends, market developments, and geopolitical risks impacting equity and fixed income markets, providing timely insights and recommendations.
• Ensure full compliance with regulatory requirements, internal investment guidelines, and best execution practices.
• Contribute to investor reporting, performance attribution, and marketing efforts for the fund’s strategies.

Requirement

• Bachelor’s degree or above in Finance, Economics, Mathematics, or related quantitative disciplines; CFA, CAIA, or FRM qualifications highly preferred.
• Minimum 10–12 years of relevant investment experience in asset management or hedge fund, with at least 5 years in a senior portfolio management or deputy head role covering both equities and fixed income.
• Strong track record in managing long/short equity and fixed income strategies, with proven ability to generate consistent alpha in Asian and global markets.
• Deep expertise in fundamental analysis, credit research, macroeconomic forecasting, and portfolio construction techniques.
• Solid understanding of hedge fund operations, risk management frameworks, and performance measurement methodologies.
• Experience working in a boutique hedge fund or multi-strategy environment is a strong advantage.
• Excellent leadership and team management skills, with the ability to develop and motivate investment professionals.
• Strong analytical, quantitative, and decision-making abilities under pressure.
• Fluency in English and Mandarin (spoken and written) is essential; Cantonese is an advantage.
• High degree of integrity, intellectual curiosity, and ability to thrive in a fast-paced, entrepreneurial hedge fund setting.
• SFC Type 9 (Asset Management) licensing or relevant regulatory experience in Hong Kong is preferred.

Background Our client is a reputable European private bank with a strong presence in Asia, committed to providing bespoke wealth management solutions to high-net-worth individuals (HNWI) and ultra-high-net-worth individuals (UHNWIs) in Hong Kong and the Greater China region. The bank is expanding its private banking franchise in Hong Kong to capture growing demand for cross-border investment advisory, portfolio management, and holistic wealth services. Reporting to the Regional CEO or Asia Head of Private Banking, the Head of Private Banking will lead the overall business strategy, team development, and client franchise growth in a competitive and regulated environment.

Responsibility

• Develop and execute the strategic business plan for the Hong Kong private banking business, aligning with the bank's global and regional objectives to drive revenue growth and market share.
• Lead a team of relationship managers and investment specialists to acquire, develop, and retain a high-quality portfolio of HNWI and UHNW clients.
• Oversee client onboarding, portfolio construction, investment advisory, and customized solutions across asset classes including equities, fixed income, alternatives, structured products, and discretionary mandates.
• Build and maintain strong relationships with existing and prospective clients, family offices, and key introducers to generate new business opportunities.
• Ensure full compliance with all regulatory requirements, including SFC licensing rules, AML/CFT, KYC, and suitability standards, while maintaining robust risk management and governance practices.
• Monitor market trends, competitive landscape, and client needs in Hong Kong and Greater China to identify growth opportunities and optimize product offerings.
• Collaborate closely with internal stakeholders including investment, operations, compliance, and regional teams to deliver seamless client service and operational efficiency.
• Drive performance management, talent development, and succession planning within the private banking team.
• Provide regular business performance reports, forecasts, and strategic recommendations to senior management.

Requirement

• Bachelor’s degree or above in Finance, Business, Economics, or related disciplines; MBA, CFA, or other relevant professional qualifications preferred.
• Minimum 12–15 years of relevant experience in private banking or wealth management, with at least 5–8 years in a senior leadership role (e.g., Head of Private Banking, Team Head, or Senior Director level) within a reputable international or European bank.
• Proven track record in building and growing a profitable private banking business in Hong Kong, with strong client acquisition capabilities and a sizable existing client network among HNWI/UHNW in Greater China.
• In-depth knowledge of investment products, portfolio management, and cross-border wealth structuring; familiarity with Hong Kong and Asia market dynamics is essential.
• Sound understanding of regulatory frameworks in Hong Kong (SFC Type 1, 4, 9 licenses or Responsible Officer experience preferred) and compliance requirements including AML, FATCA, and CRS.
• Strong leadership and people management skills, with the ability to motivate and develop high-performing teams in a dynamic environment.
• Excellent communication, interpersonal, and presentation skills; fluency in English and Mandarin (spoken and written) is mandatory; Cantonese is highly advantageous.
• High level of integrity, client focus, and discretion; ability to operate effectively in a matrix organization and navigate complex stakeholder relationships.

Background Our client is a well-established single family office (SFO) based in Hong Kong, serving a prominent high-net-worth family with diversified investments across Asia and globally. The family office manages substantial assets under management, focusing on long-term wealth preservation, strategic investment allocation, succession planning, and governance. Reporting directly to the CEO / Family Principal, the Deputy CEO will play a critical leadership role in overseeing day-to-day operations, driving strategic initiatives, and supporting the family’s investment and legacy objectives in a dynamic, trust-based environment.

Responsibility

• Collaborate closely with the CEO and family members to develop and execute the long-term strategic vision and investment strategy of the family office.
• Oversee the overall operations of the family office, including investment management, portfolio oversight, risk management, and performance reporting.
• Lead and manage a team of investment professionals, analysts, and operational staff to ensure efficient execution of investment decisions and administrative functions.
• Identify, evaluate, and monitor investment opportunities across asset classes (equities, private equity, real estate, fixed income, alternatives, etc.), with a focus on risk-adjusted returns and alignment with family objectives.
• Ensure robust governance structures, compliance with regulatory requirements (including SFC guidelines where applicable), and adherence to internal policies on AML, KYC, and data privacy.
• Support succession planning, estate structuring, philanthropic initiatives, and family governance matters.
• Build and maintain relationships with external advisors, banks, asset managers, and service providers to optimize service delivery and access to opportunities.
• Monitor macro-economic trends, geopolitical developments, and market conditions affecting the family’s portfolio, providing timely insights and recommendations to the CEO and family.
• Drive operational excellence, process improvements, and digital transformation initiatives within the family office.

Requirement

• Bachelor’s degree or above in Finance, Business Administration, Economics, or related disciplines; MBA, CFA, or other relevant professional qualifications highly preferred.
• Minimum 12–15 years of relevant experience in family office, private banking, wealth management, asset management, or investment banking, with at least 5–7 years in a senior leadership capacity (e.g., Head of Investments, COO, or Deputy/Assistant CEO level).
• Proven track record in managing multi-asset class portfolios and delivering strong investment performance for high-net-worth or ultra-high-net-worth clients/families.
• Strong understanding of Hong Kong and Greater China markets, cross-border investment regulations, and family office best practices (including governance, succession, and wealth structuring).
• Excellent leadership and people management skills, with the ability to build high-performing teams and work effectively with family principals in a discreet and trusted manner.
• Sound knowledge of regulatory frameworks relevant to family offices and investments in Hong Kong (SFC, HKMA, CRS, FATCA, etc.).
• Outstanding communication and interpersonal skills; fluency in English and Mandarin (spoken and written) is essential; Cantonese is a strong advantage.
• High degree of integrity, discretion, and cultural sensitivity; ability to handle complex stakeholder dynamics and maintain confidentiality at all times.
• Strong analytical, strategic thinking, and problem-solving abilities, with the maturity to operate in a fast-paced, entrepreneurial family office environment.

Background:

• A banking-based SOE Fund house and investment bank.
• We are seeking a reliable and detail-oriented Operations Senior Associate to join the operations team, with primary responsibility for settlement activities. This role focuses on the accurate and timely settlement of Hong Kong equities and funds, with exposure to bond settlement as a plus.

Responsibility:

• Execute daily settlement of Hong Kong equity trades (stocks listed on HKEX) through CCASS, ensuring timely delivery vs. payment (DvP).
• Handle settlement of fund transactions, including subscriptions, redemptions, and coordination with fund administrators.
• Perform trade confirmation, matching, and exception resolution for equity and fund settlements.
• Monitor settlement status, investigate and resolve failed trades, and escalate issues when necessary.
• Assist with bond settlement processes (corporate/government bonds) when required, including coupon payments and maturity handling (preferred but not mandatory).
• Conduct daily reconciliations of positions, cash, and securities with custodians and internal records.
• Ensure all activities comply with SFC regulations, internal policies, and industry standards.
• Prepare regular settlement reports and support audit/regulatory inquiries.
• Collaborate closely with front office, compliance, and custodian banks to resolve queries efficiently.

Requirement:

• 5 years of relevant experience in settlement operations, preferably within an investment bank, brokerage, or custodian in Hong Kong.
• Strong knowledge of HK equity settlement processes (CCASS, T+2 cycle) is essential.
• Knowledge of bond settlement (CMU, fixed income processes) is advantageous but not mandatory.
• Familiarity with Hong Kong market practices and SFC regulatory requirements.
• Proficient in Microsoft Office (especially Excel); experience with settlement systems or SWIFT messaging is a plus.
• Detail-oriented, highly accurate, and able to work under time pressure during peak settlement periods.
• Stable, dependable personality with a strong willingness to follow established procedures and instructions.
• Good command of written and spoken English; Cantonese and/or Mandarin is beneficial.

Company Background:

• State owned Investment Bank and Fund House (a subsidiary of a well known SOE bank). 
• Business coverage: Corporate Finance (IPO, DCM, ECM, M&A), Fund Management, Private Equity, Direct Investment, FICC Investment, Global Markets, Proprietary Trading.

Responsibility:

• Assist on the implementation of IPO projects and origination projects. 
• Execute corporate financing activities, with a focus on managing IPO transactions. 
• Play a key role in deal screening and due diligence processes, ensuring compliance with both internal and external policies and procedures. 
• Act as the primary liaison with the risk department, assessing issues related to listing applications in IPO sponsor transactions. 
• Review a range of documents including prospectus, accountants’ reports, reorganisation memos, legal opinions, listing application documents, forecasts, and financial models. 
• Coordinate with various stakeholders, including clients, ECM team, legal advisors, and co-sponsoring parties. 
• Engage with regulatory bodies such as the Hong Kong Stock Exchange and the SFC, managing feedback, timelines, and project logistics.

Requirement:

• Current holder of Representative licenses registered under SFC (Type 6). 
• Around 3 years of experience in initial public offering execution in Hong Kong. 
• Proven track record in executing IPO deals. 
• Great communication skills, with proficiency in Mandarin and Chinese typing. 
• Comprehensive understanding of investment banking and corporate finance. 
• A university degree in a relevant field.

Job Overview

Become the Associate Director of the operations department at a renowned SOE investment bank and securities company based in Hong Kong, with a focus on CDD and KYC for client integration. In this role, you'll direct key due diligence efforts and anti-money laundering (AML) adherence, reduce significant risks, and facilitate safe growth in worldwide securities and investment activities.

Primary Duties

• Guide and refine the complete process for establishing and accessing accounts for international clients, incorporating strategic oversight of arrangements in elevated-risk areas to promote efficiency, risk reduction, and conformity with international norms.
• Oversee in-depth client profile reviews (COB), advanced due diligence (EDD), KYC evaluations, and AML checks for both international and local clients, maintaining rigorous alignment with FATF guidelines and transnational regulatory structures.
• Supervise the gathering, submission, and supervision of fiscal data for international clients, applying and tracking systems like FATCA, MiFID II, and CRS to avert compliance vulnerabilities and bolster organization-wide regulatory approaches.
• Serve as the primary liaison for handling documents and inquiries related to international clients and interdisciplinary internal groups (front, middle, and back office), ensuring accurate, regulation-compliant, and prompt interactions to build strong client partnerships.
• Collaborate with top-level colleagues in Risk Management, Legal Affairs, and Business Growth to create, deploy, and improve AML surveillance and compliance mechanisms for international clients, guaranteeing complete compliance with company protocols and authorities such as SFC.
• Develop, evaluate, and thoughtfully revise essential operational guidelines, protocols, and standard operating procedures for client due diligence and AML operations, weaving in regulatory updates, audit observations, and industry-leading methods.
• Carry out other significant responsibilities as designated by top leadership, including directing compliance reviews, guiding staff development, or participating in key organizational projects.

Required Qualifications

• A bachelor's degree or advanced qualification in Finance, Economics, Law, Accounting, or an equivalent area; specialized credentials such as CAMS, CFA, or similar are highly recommended.
• A minimum of 6 years in high-level financial client oversight , featuring extensive proficiency in CDD, KYC, and AML procedures in the securities and investment sector.
• Broad understanding of global AML structures (e.g., FATF) and expert command of Hong Kong-based, regional; established capability to detect, evaluate, and address intricate transnational compliance challenges.
• Proven competence in autonomously managing compliance materials, client interactions, and regulatory filings.
• An exceptionally meticulous leader possessing a forward-thinking approach to risk and compliance, advanced abilities in communication and collaboration, and a dynamic, authoritative demeanor in a challenging, critical environment.

About:

• SOE Investment Bank with top tier bank background. 
• IPO execution position. 
• Reporting to the department head. 
• The eligible candidate must be either a sponsor principal currently or eligible to be one with effective licenses. 

Responsibility:

• Lead and manage the full execution lifecycle of assigned IPO sponsor mandates, from engagement acceptance to successful HKEX listing and post-listing obligations.
• Oversee IPO project teams, providing strategic direction, supervision, and hands-on guidance to ensure timely, high-quality delivery.
• Conduct and supervise rigorous due diligence processes, identifying and resolving issues to meet SFC and HKEX standards.
• Perform in-depth reviews of key listing documents, including prospectuses, accountants’ reports, reorganisation memos, legal opinions, listing applications, financial forecasts, and valuation models.
• Act as the primary point of contact with the risk management team, proactively addressing and mitigating any concerns related to listing applications and sponsor responsibilities.
• Coordinate closely with all stakeholders—clients, ECM teams, legal advisors, auditors, co-sponsors, and other parties—to align on deliverables, timelines, and execution excellence.
• Engage directly with regulators (HKEX and SFC), managing inquiries, responding to comments, handling feedback, and overseeing project logistics and compliance throughout the process.
• Ensure full adherence to internal policies, SFC sponsor guidelines, the Securities and Futures Ordinance (SFO), HKEX Listing Rules, and all relevant regulations.

Requirement:

• Current holder of Responsible Officer (RO) and Sponsor Principal licenses registered with the SFC for Type 6 regulated activity.
• Minimum 10+ years of relevant experience in investment banking or corporate finance, with a strong emphasis on HK IPO execution and sponsorship.
• Proven track record of successfully executing and sponsoring multiple IPOs on the Hong Kong Stock Exchange (as sponsor principal or in a lead execution role).
• Excellent communication and interpersonal skills, with fluency in English and Mandarin, plus strong proficiency in Chinese typing.
• In-depth knowledge of Hong Kong's regulatory framework for listings, including the SFC Corporate Finance Adviser Code of Conduct, Sponsors Guidelines, HKEX Listing Rules, and the Securities and Futures Ordinance (SFO).
• Bachelor's degree (or higher) in Finance, Business, Economics, Law, Accounting, or a related field; CFA, CPA, or other relevant qualifications are a plus.