Responsible Officer (SFC Type 6)

Job Title: Responsible Officer (SFC Type 6)
Contract Type: Permanent
Location: Hong Kong
Reference: BL180606-2
Contact Name: Bruce Lam
Contact Email:
Job Published: June 07, 2018 09:52

Job Description

Our client is a leading Chinese investment firm and now looking for a Principal & Responsible officer 6 to join their team.

Job Duties:

  • Implement or advise on takeovers, mergers, amalgamations, acquisitions, disposals, project financing, management buyouts, corporate restructurings, initial public offerings, rights issues, placements and other fund raising exercises
  • Responsible for assessing, exploring and negotiating potential deals, executing corporate finance transactions, conducting due diligence, preparing pitch books and documentation
  • Handle all coverage and/or execution related matters independently


  • Degree holder in Banking, Finance, Accounting, Economics or the related discipline
  • Current holder or potential holder of SFC Type-6 RO ( Sponsor Principal )
  • Minimum 5 years’ relevant management experience in financial institution or stock brokerage firm
  • Proven record of M&A/IPO project experiences. 
  • Sound knowledge in Listing Rules, Takeover Codes, Company Law and other rules and regulations 
  • Excellent command of spoken and written English, Cantonese & Mandarin
  • Strong communication and interpersonal skills

Our client offers a competitive package with performance bonus. Please click apply now if you are interested.


If you are interested, please send your updated CV to and CC, thank you.


Welcome to call Bruce Lam by +852 2585 6722 for more information.