Our client, a Top-tier PRC investment bank, is now looking for an IBD Compliance to join them.
Responsibilities:
- Review, update and revise due diligence procedures for IPO, FA, IFA, M&A, ECM and DCM transactions to ensure compliance with regulatory requirements.
- Provide compliance advisory for HK IPO Sponsor projects DD materials, draft prospectus, project files.
- Conduct due diligence assessments on clients, counterparties, and business partners to ensure compliance with anti-money laundering (AML), know your customer (KYC), and other relevant regulatory requirements.
- Assist in the preparation of reports and presentations for senior management and regulatory bodies.
- Handle internal audit, risk management and group compliance inspection and queries.
- Prepared submissions and responses to regulators including SFC, HKEX, CSRC, etc.
Requirements:
- Bachelor's degree in finance, business, or a related field.
- Solid understanding of quality assurance, compliance and regulatory requirements etc, with at least 6 years of experience.
- Experience in IPO sponsor vetting experience in regulatory bodies such as HKEx or SFC is highly preferred.
- Excellent command of spoken and written English and Mandarin.