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

Green Lake Executive Search; Hong Kong; On-site; HKD 1,500,000 - 3,500,000; Full time

Job summary

Green Lake Executive Search is representing a premier IBD/Corporate Finance sponsor principal role in Hong Kong. You will lead the full execution lifecycle of HKEX IPO sponsor mandates, from engagement to listing and post-listing obligations.

The successful candidate holds RO and Sponsor Principal licenses with the SFC (Type 6) and has 10+ years in investment banking or corporate finance, focusing on HK IPO execution.

Qualifications

• Holder of SFC Type 6 RO and Sponsor Principal licenses.
• 10+ years in investment banking or corporate finance, HK IPO experience.
• Excellent communication and interpersonal skills; fluent in English and Mandarin; Chinese typing proficiency.

Responsibilities

• Lead the full execution lifecycle of IPO sponsor mandates from engagement to HKEX listing and post-listing obligations.
• Oversee IPO project teams, providing strategic direction and hands-on guidance.
• Perform rigorous due diligence and review listing documents.
• Coordinate with risk management, clients, ECM, legal, auditors, and co-sponsors to align deliverables.
• Engage regulators (HKEX, SFC) and manage inquiries and compliance throughout the process.

Skills

English fluency

Mandarin fluency

Communication

Interpersonal skills

Chinese typing

Regulatory knowledge

Education

Bachelor's degree in Finance/Business/Economics/Law/Accounting

CFA/CPA (plus)

Job description

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

Job Description

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

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