Posted 7 hours ago
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.
