Description: This role is part of the Corporate Finance Department at a well-established Chinese Investment Bank. The primary responsibility is to ensure that all activities conducted adhere to local regulatory and statutory requirements, as well as complying with the bank's policies.
Job Responsibilities:
- Review and provide comments on due diligence procedures in IPO, FA, IFA, M&A, and GCM transactions to ensure compliance with requirements from regulators such as the Hong Kong Stock Exchange and the Securities and Futures Commission of Hong Kong, while maintaining the bank's business standards.
- Support internal and external inspections/reviews and communicate with Legal and Compliance Department, internal audit, headquarters, and external regulators as necessary.
- Assist the division/department head in monitoring and promoting compliance with internal and external policies and regulations.
- Maintain and update internal procedures/manuals.
- Provide risk/compliance-related analysis and data for internal use or headquarters.
- Regularly update and train the team on new rules and regulations, internal policies, and market compliance matters.
- Perform other duties as directed by superiors.
Requirements:
- Minimum of 8 years of solid experience in quality assurance, compliance, or IPO sponsor vetting within regulatory bodies such as HKEx or SFC, or reputable financial institutions, particularly in vetting IPO transactions. Audit/internal control experience will also be considered.
- Bachelor's degree from a reputable institution with an outstanding academic background.
- Professional qualifications such as CPA, CFA, or legal studies are advantageous.
- Strong attention to detail, a solid understanding of legal and compliance matters, good work ethics, and personal integrity.
- Proactive with strong organizational, analytical, presentation, communication, and interpersonal skills.
- Familiarity with Listing Rules, guidance letters, and/or Takeover Codes.
- Excellent command of spoken and written English and Mandarin.
