IBD Managing Director (IPO Sponsor Principal)

CFA Institute; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

CFA Institute in Hong Kong seeks a seasoned Managing Director and Sponsor Principal to lead IPO sponsorship and corporate finance execution. This senior role drives high-impact HK IPO transactions, oversees deal pipelines, and ensures regulatory excellence.

You will coordinate with regulators, clients, ECM teams, lawyers, auditors, and co-sponsors, manage due diligence, review listing documents, and uphold SFC/HKEX standards across the SFO framework.

Qualifications

• RO and Sponsor Principal licenses with the SFC for Type 6 activity.
• 10+ years in investment banking or corporate finance with HK IPO experience.
• Proven track record sponsoring multiple HK IPOs as sponsor principal or lead execution.
• Excellent communication and interpersonal skills in English and Mandarin; strong Chinese typing.

Responsibilities

• Lead full execution lifecycle of IPO sponsor mandates to HKEX listing and post-listing obligations.
• Oversee IPO project teams with strategic direction and hands-on guidance.
• Conduct and supervise due diligence to meet SFC and HKEX standards.
• Review listing documents: prospectuses, reports, memos, legal opinions, forecasts, and valuation models.
• Act as primary contact with risk management on sponsor responsibilities.
• Coordinate with clients, ECM teams, legal advisors, auditors, co-sponsors to align on deliverables and timelines.
• Engage regulators (HKEX/SFC), manage inquiries, and ensure compliance throughout the process.
• Ensure adherence to SFC sponsor guidelines, SFO, HKEX Listing Rules and relevant regulations.

Skills

Leadership

English fluency

Mandarin fluency

Communication

Education

Bachelor's degree or higher

CFA/CPA

Job description

About the Role

A banking base SOE investment bank is seeking a seasoned Managing Director and Sponsor Principal to lead IPO sponsorship and corporate finance execution efforts. In this senior leadership position, you will drive high-impact IPO transactions, oversee deal pipelines, and ensure regulatory excellence.

Responsibility:

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

Requirement:

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.