Institutional Sales 丨10%-15% salary increase based on current income丨RO required

Caterbee HR Solutions Limited; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Caterbee HR Solutions Limited is seeking a high-caliber Institutional Sales expert who can also serve as the SFC Type 1, 4, 9 Responsible Officer (RO) in Hong Kong. The role focuses on developing institutional channels for IPO Funds and asset management products, while ensuring regulatory compliance as RO.

Ideal candidates will have a proven institutional sales track record, a ready network of HK/ Mainland investors, and fluency in Mandarin with professional English and Cantonese.

Qualifications

• Must meet all SFC requirements to be registered/approved as a RO for Type 1, 4 and 9.
• Proven track record in Institutional Sales within securities, asset management or investment banking.
• Native or fluent Mandarin with professional English and Cantonese.

Responsibilities

• Channel development & sales for IPO Funds.
• Build and manage strategic institutional partnerships (SFC registrable).
• Negotiate terms and structure collaboration frameworks.
• Provide product enablement and training to distribution teams.
• Act as RO to fulfill statutory compliance (Type 1, 4, 9).

Skills

Institutional sales

Securities RO eligibility

Networking with institutions

Commercial negotiation

Job description

They are a renowned and fast-growing 2nd tier securities firm in town(holding Type 1, 4, and 9 regulated activity licenses), to support the rapid expansion of their IPO Funds and asset management business, they are seeking a high-caliber Institutional Sales expert who possesses the credentials to concurrently act as our SFC Type 1, 4, 9 Responsible Officer (RO).

Key Responsibilities :

1) Channel Development & Sales:

Formulate and execute institutional business development strategies for the company's IPO Funds. Identify, pitch, and secure institutional placement quotas.

2) Institutional Network Management:

Build and cultivate strategic partnerships with Tier-1 institutional clients, including Securities Firms, Asset Management Corporations, Family Offices, Insurance Companies, and Private Banks.

3) Commercial Negotiation:

Evaluate potential institutional partners, structure collaboration frameworks, and negotiate commercial placement/distribution terms.

4) Product Enablement & Training:

Provide professional product walkthroughs, market updates, and technical training to the product/sales teams of distribution channels.

5) Regulatory Responsibility:

Act as the company's SFC Type 1, 4, 9 Responsible Officer (RO) to fulfill statutory compliance frameworks (Acceptable for either Sole/ non-sole RO).

Job Requirements:

Must meet all SFC requirements to be registered/approved as a Responsible Officer (RO) for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management).

Proven track record in Institutional Sales within investment banking, securities firms, or asset management sectors.

Network & Resources: Possess a ready and robust network of institutional investors, private banks, or family offices in Hong Kong/Mainland China.

Language Skills: Native or fluent Mandarin to liaise with high-net-worth mainland networks, with professional written/spoken English and Cantonese.

Benefits & Work Environment:

1) Salary & Perks:

2) Location: Pacific Place, Admiralty.

3) Standard Hour: Mon - Fri, Corporate Finance hours.