Job Summary:
We are seeking an experienced and proactive compliance professional to join the Legal & Compliance team as an Associate Director supporting the Investment Banking Division (IBD). This role is pivotal in ensuring regulatory compliance across corporate finance, M&A, and capital markets transactions, while managing reputational and regulatory risks.
Key Responsibilities:
Transaction Compliance Oversight:
- Provide compliance advisory support on IPOs, M&A, and other corporate finance transactions.
- Review due diligence procedures, deal documentation, and marketing materials to ensure regulatory compliance.
- Monitor and assess conflicts of interest and manage wall-crossing protocols in coordination with the Control Room.
Regulatory Advisory & Monitoring:
- Interpret and apply relevant regulations (e.g., SFC, HKEX, global standards) to IBD activities.
- Liaise with regulators and internal stakeholders on compliance matters and regulatory inquiries.
- Conduct periodic reviews and surveillance of IBD activities to identify potential compliance risks.
Policy Development & Training:
- Develop and update internal compliance policies and procedures tailored to IBD operations.
- Deliver training sessions to bankers and deal teams on compliance best practices and regulatory updates.
- Promote a strong compliance culture across the division.
Audit & Reporting:
- Support internal and external audits, regulatory inspections, and compliance testing.
- Prepare regular compliance reports and risk assessments for senior management.
Qualifications:
- Bachelor's degree in Law, Finance, Business, or related discipline; legal or compliance certification is a plus.
- Minimum 7 years of experience in IBD compliance, legal advisory, or regulatory roles within financial institutions.
- Strong knowledge of Hong Kong and international securities regulations and capital markets.
- Excellent communication, analytical, and stakeholder management skills.
- Fluency in English and Mandarin is required; Cantonese is advantageous.
