Signing Principal, CFCM, Investment Banking

Position Description

This position is responsible for supervising and leading the execution of corporate finance transactions including initial public offering, mergers, acquisitions, divestiture and other financial advisory transactions.

A Responsible Officer, as a SFC licensee, bears the responsibility of maintaining appropriate standards of conduct of CLSA employees and ensuring their adherence to internal rules and procedures, and in particular, engaging in compliance discussions to ensure adequate control systems and procedures and take appropriate steps in response to compliance and regulatory risks whennecessary.

Key Areas of Responsibilities

• Supervise and execute corporate finance transactions;
• Lead due diligence and research efforts, and review business, financial and legal analyses on corporate finance transactions;
• Familiar with relevant rules and regulations in relation to corporate finance transactions;
• Take a supervision role, when necessary, in the firm’s pitching efforts, and provide advice on the firm’s pursuit of new business opportunities;
• Maintain close network and relation with market participants/ professional parties;
• Act as a member of CFCM Responsible Officer Approval Committee;
• Provide guidance and give feedback to CFCM staff as appropriate; and
• Assist Legal and Compliance in ensuring the firm’s compliance with relevant rules and regulations and timely responses to competent legal and regulatory authorities, and facilitate internal audit as and when necessary.

Requirements

• Degree holder in Finance or related discipline(s);
• Minimum of 15 years’ experience in investment banking and financial industry;
• Proven track record of executing initial public offerings, mergers, acquisitions, divestiture and other financial advisory transactions in Hong Kong;
• In-depth knowledge of Rules Governing The Listing of Securities on The Stock Exchange of Hong Kong Limited, The Codes on Takeovers, Mergers and Share Buy-backs and other relevant Hong Kong regulatory requirements;
• Attained all required licenses for carrying out securities advisory activities;
• Excellent presentation and marketing skills;
• Good command of written and spoken English and Chinese; and
• Good at decision making and problem solving