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Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
Originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
Formulate, review and update the operational procedures to ensure full regulatory compliance
Establish proper documentation of all regulated activities;
Assist in handling compliance cases and complaints;
Assist in communicating with regulatory bodies;
With 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities
You need to be analytical and demonstrate strong financial modelling and Excel skills
Possess sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines (including The Codes on Takeovers and Mergers and Share Buy-backs), regulations and guidelines of relevant regulatory authorities and risk management controls
Current holder of SFC Responsible Office license for Type 6 RA preferred
Prior regulatory relationship management experience is preferred
Strong leadership, analytical, communication and presentation skills
A holder of bachelor degree or above
A native or business professional level speaker of Cantonese, Mandarin or English