IBD / Corporate Finance- Execution or Signing Principal (Associate- MD)

多家头部中资投行券商招聘IBD 人才，base HK:

1. Signing Principal / IBD签字保荐人
2. 头部中资投行 招聘TMT Head
3. Top中资券商 DCM部门Associate – Head of DCM 岗位招聘，base HK
4. 中资券商 投行招聘DCM Head ，D-MD level，要求有自主承揽能力，base HK
5. 多家中资券商 招聘ECM ，有Asso- MD level，Execution以及Syndicate都招 ，equity sales也可转
6. 多家公司 IBD招聘执行人员 ，职级Associate – Director level, base HK，headcount多
7. Takeover Code RO

感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐

IBD / Corporate Finance- Execution or Signing Principal (Associate- MD)

Job Description

1. RO Type 6 (Sponsor, Principal): Develop financing deals’ businesses, proposal, plan, execution, negotiation, M&A, fund mergers, structured finance, advisory, due diligence etc.
2. Lead and manage the full execution lifecycle of assigned IPO sponsor mandates, from engagement acceptance to successful HKEX listing and post-listing obligations.
3. Oversee IPO project teams, providing strategic direction, supervision, and hands-on guidance to ensure timely, high-quality delivery.
4. Conduct and supervise rigorous due diligence processes, identifying and resolving issues to meet SFC and HKEX standards.
5. Perform in-depth reviews of key listing documents, including prospectuses, accountants’ reports, reorganisation memos, legal opinions, listing applications, financial forecasts, and valuation models.
6. 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.
7. Coordinate closely with all stakeholders—clients, ECM teams, legal advisors, auditors, co-sponsors, and other parties—to align on deliverables, timelines, and execution excellence.
8. Engage directly with regulators (HKEX and SFC), managing inquiries, responding to comments, handling feedback, and overseeing project logistics and compliance throughout the process.
9. Ensure full adherence to internal policies, SFC sponsor guidelines, the Securities and Futures Ordinance (SFO), HKEX Listing Rules, and all relevant regulations.

The Successful Applicant

1. Current holder of Responsible Officer (RO) and Sponsor Principal licenses registered with the SFC for Type 6 regulated activity.
2. Minimum 10+ years of relevant experience in investment banking or corporate finance, with a strong emphasis on HK IPO execution and sponsorship.
3. 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).
4. Excellent communication and interpersonal skills, with fluency in English and Mandarin, plus strong proficiency in Chinese typing.
5. 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).
6. Bachelor's degree (or higher) in Finance, Business, Economics, Law, Accounting, or a related field; CFA, CPA, or other relevant qualifications are a plus.