Responsibilities Serve as the primary signing principal for offering documents. Ensure all IBD activities, including IPOs, secondary offerings, and other advisory mandates, strictly comply with Hong Kong regulations (Listing Rules, Takeovers Code). Stay abreast of evolving regulatory changes and lead internal training sessions to ensure team-wide compliance. Act as a key point of contact for regulators and external legal counsel on deal‑specific regulatory matters. Deal Execution & Transaction Oversight Lead and take ultimate responsibility for the end‑to‑end execution of corporate finance transactions. Provide senior‑level review and approval for financial models, valuation analyses, due diligence processes, and all client‑facing materials. Ensure the accuracy, completeness, and integrity of all information disclosed in prospectuses, announcement documents, and circulars. Oversee and guide deal teams through all stages of transaction execution, from pitch to closing. Uphold and enforce the firm's internal control, risk management, and compliance policies within the IBD team. Conduct pre‑transaction and ongoing due diligence on clients and counterparties as per regulatory requirements. Mentor and develop Associates, Vice Presidents, and Directors, providing guidance on technical skills, regulatory knowledge, and professional conduct. Foster a strong culture of compliance, integrity, and excellence within the team. Qualifications & Experience A minimum of 10 years of relevant corporate finance experience in a licensed role within a leading investment bank, securities house, or corporate finance advisory firm in Hong Kong. Proven track record of acting as a Signing Principal on multiple Hong Kong IPO transactions.
