Sponsor Principal (Open Budget, Chinese Firm)

Key Responsibilities

• Lead and supervise the due diligence process for listing applicants. Ensure all material information is properly verified and disclosed.
• Ensure sponsor work complies with SFC and HKEX requirements. Maintain documentation to demonstrate compliance.
• Allocate responsibilities among sponsor team members. Ensure adequate resources and expertise are deployed for each IPO engagement.
• Identify and mitigate risks related to misstatements, omissions, or non-compliance. Escalate issues to senior management and regulators when necessary.
• Act as the primary contact with HKEX and SFC during listing vetting and inquiries. Respond to regulators questions and provide supporting documentation.
• Sign off on sponsor declarations and confirmations. Take responsibility for the accuracy and completeness of sponsor work.

Qualifications

• Holder of a valid Type 6 license under the SFO.
• Demonstrated understanding of HKEX Listing Rules and SFC Sponsor Guidelines.
• Proven track record of supervising IPO transactions.
• Strong leadership, analytical, and communication skills.