Responsible Officer (SFC Type 1/6/9)

Rise Associates Asia Limited; Hong Kong Island; In loco; HKD 1.200.000 - 2.100.000; Tempo pieno

Descrizione del lavoro

Rise Associates Asia Limited seeks an SFC-approved Responsible Officer (Type 1, 6, and 9) to supervise regulated activities in Hong Kong in full compliance with the SFO.

You will oversee daily operations in investment banking, asset management, corporate finance, and deal workflows, and you will formulate robust internal controls, risk management, and compliance guidelines. Fluency in English and Mandarin is required for regional interactions.

Competenze

• Currently registered (or eligible for immediate re-registration) as an SFC Type 1, 6, or 9 Responsible Officer.
• Over 5 years of experience in investment banking, asset management, corporate finance, or private equity, with direct experience acting as a business originator or deal maker.
• Proven deal sheet in ECM/DCM, M&A advisory, capital raising, or successful fund creation/management in Hong Kong and Greater China.
• Outstanding balance of strict regulatory compliance awareness and deal-closing execution capabilities.
• Full compliance with SFC Management & Regulatory experience guidelines for Type 1, 6, or 9 activities (including relevant Hong Kong licensing examinations).
• Fluency in English and Mandarin (spoken and written) is required due to frequent interactions with regional corporates and mainland Chinese investors/clients.

Mansioni

• Act as an SFC-approved Responsible Officer to supervise regulated activities.
• Oversee daily regulated operations, investment activities, corporate finance transactions, and dealing workflows.
• Formulate, review, and optimize internal control procedures, risk management frameworks, and compliance guidelines.
• Maintain effective communications with the SFC, external auditors, legal counsel, and regulatory authorities.
• Deal Origination & Execution (Type 6): Lead or advise on corporate finance transactions, including IPOs, M&A, private placements, pre-IPO financing, and debt/equity capital market advisory.
• Asset & Portfolio Growth (Type 9): Drive structuring, launch, and marketing of fund products; partner with the investment team to evaluate potential transactions.
• Investor Relations & Fundraising (Type 1 / 9): Utilize your network of Institutional Investors, Family Offices, UHNWIs, and corporate clients to raise capital and grow Assets Under Management.

Conoscenze

SFC RO Type 1/6/9

Regulatory compliance

Deal origination

English & Mandarin

Formazione

SFC licensing examinations

Strumenti

Descrizione del lavoro

Act as an SFC-approved Responsible Officer (Type 1, 6, and 9) to supervise regulated activities in full compliance with the Securities and Futures Ordinance (SFO) and relevant regulatory requirements.

Oversee daily regulated operations, investment activities, corporate finance transactions, and dealing workflows.

Formulate, review, and continuously optimize internal operational control procedures, risk management frameworks, and compliance guidelines.

Maintain effective communications with the SFC, external auditors, legal counsel, and regulatory authorities.

Deal Origination & Execution (Type 6): Lead or advise on corporate finance transactions, including IPOs, M&A, private placements, pre-IPO financing, and debt/equity capital market advisory.

Asset & Portfolio Growth (Type 9): Drive the structuring, launch, and marketing of fund products ; partner with the investment team to evaluate potential transactions.

Investor Relations & Fundraising (Type 1 / 9): Utilize your network of Institutional Investors, Family Offices, UHNWIs, and corporate clients to raise capital and grow Assets Under Management.

Strategic Growth: Identify new business opportunities, strategic partnerships, and joint ventures to expand the firm’s revenue streams across primary and secondary markets.

Key Requirements

Currently registered (or eligible for immediate re-registration) as an SFC Type 1, 6, or 9 Responsible Officer.

Over 5 years of experience in investment banking, asset management, corporate finance, or private equity, with direct experience acting as a business originator or deal maker.

Proven deal sheet in ECM/DCM, M&A advisory, capital raising, or successful fund creation/management in Hong Kong and Greater China.

Outstanding balance of strict regulatory compliance awareness and deal-closing execution capabilities.

Full compliance with SFC Management & Regulatory experience guidelines for Type 1, 6, or 9 activities (including relevant Hong Kong licensing examinations).

Fluency in English and Mandarin (spoken and written) is required due to frequent interactions with regional corporates and mainland Chinese investors/clients.