Sunni Lau
Investment Banking
Summary
Veteran equity capital markets banker bringing over 13 years of experience and remarkable track record in fund raising projects. Successful at creating and managing company strategic policies, overseeing regulatory and compliance checks. Articulate and persuasive communicator, presenter and negotiator with courteous and relationship-focused mentality. Dedicated professional with history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand. To seek and maintain full-time position that offers professional challenges utilizing interpersonal skills, excellent time management, leadership and problem-solving skills.
Overview
13
13
years of professional experience
5
5
years of post-secondary education
3
3
Languages
Work History
Managing Director – Head of ECM
Southwest Securities (HK) Capital Limited
02.2020 - Current
- Department head in charge of a small team of 4
- Work with sponsor principals in pitching potential IPO mandates
- Lead team members in constructing financial models, valuation pages, pitch books and marketing materials across all ECM product types
- Work directly with the group's senior management and be the key decision maker over all aspects of ECM transactions
- Close working relationship with equity sales and research heads in joint marketing efforts
- Collaborate with professional parties and major banks in pitching syndicate mandates
Executive Director - Head of ECM Syndication
Sinolink Securities (HK) Company limited
11.2016 - 02.2020
- Co-head and in charge of a team of 5
- Target potential equity issuers and pitch potential syndicate mandates
- Perform buy-side investors, equity market conditions and offering size analyses, and prepare roadshow layouts
- Lead team members in creating marketing materials across all ECM product types
- Work directly with head office senior management and be involved with all aspects of ECM transactions
- Liaise with equity syndicates / research / sales / trading teams in order to gather market intelligence on an ongoing and ad hoc basis
Director – ECM
CIS Securities Asset Management Limited
01.2015 - 10.2016
- In charged of a team of 5
- Focus on small to mid-size IPOs and pitch potential mandates
- Design overall deal structure and lead in overall execution of underwriting exercise including liaising with professional parties, stock exchange and regulators
- Liaise with equity sales in order to gather interest and pricing sensitivity
Associate Director – ECM
China Industrial Securities International Capital Limited
04.2014 - 12.2014
- Core member of the team, led all equity live deal execution
- Focused on small to midsize equity IPOs and pitch potential mandates
- Design overall deal structure and lead in overall execution of underwriting exercise including liaising with professional parties, stock exchange and regulators
- Liaise with equity sales in order to gather interest and pricing sensitivity
Senior Manager - ECM
Yuanta Securities (HK) Limited
07.2013 - 04.2014
- Core member of department equity deal execution
- Focused on small to midsize equity IPOs, placement and convertibles
- Providing client facing input on marketing and execution of various types of equity and equity-linked capital markets offerings
- Liaising with equities sales, research and trading to discuss sector and stock specific trends and investor feedback
Senior VP - Institutional Sales
Lippo Securities Limited
08.2012 - 02.2013
- Lead a team of 4
- Covering regional equity long short accounts, as well as 20 plus corporate accounts
- Provide professional institutional brokerage service
- Account opening, KYC and AML checks, well versed in client onboarding processes
AVP - Institutional Sales
Sun Hung Kai Financial
08.2011 - 07.2012
- Accompany research analysts to roadshows, marketing events and conferences
- Design and pitch alpha generating trade ideas using multiple financial instruments
- Covered regional equity long short, Chinese AMC accounts, provide professional institutional brokerage service
- Account opening, KYC and AML checks, well versed in client onboarding processes
AVP - Institutional Sales
KGI Asia Limited
05.2008 - 05.2011
- Working in a team of 8
- Covered regional long short hedge funds, Taiwanese AMC, and global long only funds
- Provide sales and operational support to senior salespeople
- Assist sales desk with daily sales write-up, data request, ideas generation
- Assist with marketing equity products to Institutional clients
- Account opening, KYC and AML checks, well versed in client onboarding processes
Education
MBA - Business Administration
Warwick Business School
Warwick, UK 06.2019 - 11.2021
Bachelor of Science - Business Studies, information Systems
University of Buckingham
Buckingham, UK 10.2001 - 01.2004
Skills
Capital raising
Timeline
Managing Director – Head of ECM
Southwest Securities (HK) Capital Limited
02.2020 - Current
MBA - Business Administration
Warwick Business School
06.2019 - 11.2021
Executive Director - Head of ECM Syndication
Sinolink Securities (HK) Company limited
11.2016 - 02.2020
Director – ECM
CIS Securities Asset Management Limited
01.2015 - 10.2016
Associate Director – ECM
China Industrial Securities International Capital Limited
04.2014 - 12.2014
Senior Manager - ECM
Yuanta Securities (HK) Limited
07.2013 - 04.2014
Senior VP - Institutional Sales
Lippo Securities Limited
08.2012 - 02.2013
AVP - Institutional Sales
Sun Hung Kai Financial
08.2011 - 07.2012
AVP - Institutional Sales
KGI Asia Limited
05.2008 - 05.2011
Bachelor of Science - Business Studies, information Systems
University of Buckingham
10.2001 - 01.2004
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