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Responsible Officer (Type 6) - Corporate Finance Central Wealth Securities Investment Limited
Responsible Officer (Type 6) - Corporate Finance Central Wealth Securities Investment Limited

Job Highlights

  • Executive Director / Director
  • 5-10 years proven track record
  • SFC Type 6 License is a must

Job Description

Job Description

  • Assist in applying for the regulated activities license of the SFC, and build up the company's business process, operation system and infrastructure, etc.
  • Act as Responsible Officer with management responsibilities and duties to supervise SFC Type 6 financial advisory and take-over code.
  • Supervise the FA business and explore new opportunities
  • Supervise the team to conduct various industry market research, financial analysis and forecasts
  • Supervise the execution of financial advisory projects including undertaking due diligence, resolving issues, and liaising with SFC
  • Comply to applicable laws, rules and regulations, including the proper documentation of all operations, policies and procedures
  • Execution of a full spectrum of financial advisory, including IPOs, M&A, takeover, fund raising exercises and other financial advisory & transactions which involve in the Hong Kong Listing Rules and/or Takeovers Code
  • Liaise with other professional parties and communicate with relevant regulatory authorities in the implementation of corporate finance projects.
  • Lead due diligence works, financial analysis and corporate finance advisory transactions
  • Assist drafting announcements and circulars and reviewing transaction related documents
  • Prepare pitchbook, submission documents and correspondences
  • Liaise and coordinate with clients and various professional parties

Job Requirements

  • 5-10 years proven track record
  • SFC Type 6 License is a must, experience on Type 1 will be an advantage.
  • Bachelor or postgraduate degree holder, MBA, CFA and FRM qualification will be an advantage.
  • Solid understanding on due diligence, corporate finance, financial advisory and take-over will be an advantage.
  • Be able to work under pressure.
  • Cross-cultural experience will be essential.
  • Full proficiency in English, Cantonese and Mandarin (Spoken, Reading, Writing)


We offer a competitive remuneration with a good career development to the right candidate. Interested parties please send us full resume stating expected salary and available date by clicking the button of Apply Now.

 All information provided by applicants will be treated in strict confidence and used for recruitment purpose only.

Additional Information

Career Level
Years of Experience
5 years
Employment Type
Full Time

Company Overview

CWSIL is a well-established securities brokerage firm under a Public Listed Company. Our business covers Securities Brokerage, Futures and Asset Management.


To cope with our business growth and expansion, we are looking for high caliber candidates to join our dynamic team



Additional Company Information

Benefits & Others
Double pay, Five-day work week, Medical insurance