Director/MD, Sponsor Principal

Job Responsibilities

• Lead and manage the execution of IPO sponsor mandates, financial advisory (FA), independent financial advisory (IFA), and other corporate finance transactions. Responsibilities include overseeing project planning, coordination, due diligence, and ensuring smooth execution of all deal-related activities.
• Play a critical role in deal screening and due diligence processes, ensuring compliance with internal policies and external regulatory requirements throughout the transaction lifecycle.
• Act as the primary liaison with the risk management team to address and resolve issues related to listing applications in IPO sponsor transactions, providing timely updates and solutions.
• Review and analyse a wide range of transaction-related documents, including prospectuses, accountants' reports, reorganisation memorandum, legal opinions, listing application materials, forecasts, and financial models to ensure accuracy and compliance.
• Supervise and guide project teams, offering mentorship and support to junior staff members to maintain high standards of work quality and efficiency.
• Coordinate effectively with multiple stakeholders, including clients, equity capital markets teams, legal advisors, and co-sponsoring parties, ensuring seamless communication and collaboration.
• Engage with regulatory authorities such as the Hong Kong Stock Exchange and the Securities and Futures Commission, managing feedback, timelines, and overall project logistics to meet regulatory expectations and deadlines.

Requirements

• Bachelor's degree or above in Accounting, Finance, or a related discipline; professional qualifications such as CPA or CFA are highly preferred.
• Must hold a valid SFC Responsible Officer (RO) license for Type 6 regulated activities and possess Sponsor Principal qualification.
• Demonstrates independence, proactivity, and responsibility, with strong teamwork skills and flexibility to travel when required.
• Excellent communication, analytical, and problem-solving abilities, with the capacity to manage complex transactions under tight timelines.
• Strong proficiency in both written and spoken English and Chinese, enabling effective interaction with clients, regulators, and internal teams.