Global Investment Banking Executive Director, Signing Principal

Posting Description:

We are seeking an experienced and qualified Signing Principalto join our dynamic HK IPO and Corporate Finance team. The successful candidate will serve as a licensed Sponsor Principal (Responsible Officer for Type 6 regulated activity) and play a key leadership role in originating supervising and executing Hong Kong IPOs and other capital markets transactions. This is a critical gatekeeping position ensuring full compliance with SFC and HKEX requirements while delivering high-quality listings.

Job Responsibilities:

• Act as the designated Signing Principal for IPO transactions including signing sponsor declarations confirmations and submissions to the HKEX and SFC.
• Supervise the execution of corporate finance transactions including IPOs financial advisory takeovers mergers and acquisitions and other fund raising activities
• Manage corporate finance transactions which include due diligence work record keeping internal compliance work and coordination and management of other professional parties on the transactions
• Provide strategic advice to clients on listing suitability capital raising structures and market conditions.
• Participate in business origination client relationship management and marketing of corporate finance services.
• Mentor junior team members and contribute to internal training on regulatory updates and best practices.
• Monitor regulatory developments from the SFC and HKEX and implement necessary adjustments to processes and controls.

Required Qualifications Capabilities and Skills:

• University degree in Finance Accounting Law Business or related field; postgraduate qualifications (MBA CFA CPA) highly preferred.
• SFC Type 1 and Type 6 RO licenses
• An existing sponsor principal and RO of your current employer or possess the eligibility criteria including the required experiences and qualification to apply for RO and sponsor principal license
• Minimum 10 years of relevant experience in Hong Kong IPO and corporate finance with a proven track record in supervising and completing full Hong Kong IPOsfrom start to finish (A1 submission to listing).
• Deep knowledge of HKEX Listing Rules SFC Sponsor Guidelines / Codes and relevant regulatory requirements.
• Act as the gatekeeper and thought leader for HK IPO transactions exercising expert oversight of due diligence prospectus development and regulatory engagement.
• Proven ability to manage teams resources and third-party engagements.
• Demonstrated ability to manage complex transactions independently and lead cross-functional teams.
• Excellent command of English and Mandarin
• High integrity attention to detail and strong gatekeeping mindset to uphold listing quality and investor protection standards.