VP, Compliance

Responsibilities Ensure compliance with SFC regulations for Type 1, 4, and 9 activities; Type 6 is a plus but not mandatory Monitor regulatory developments and assess impact on business operations Liaise with SFC and other regulatory bodies as needed Provide compliance support for underwriting mandates and pre-IPO investment projects Review deal structures and documentation to ensure regulatory alignment Prepare for future joint sponsor roles, including compliance readiness and due diligence sta

Be Myjob Company Limited - Hong Kong - Full time

Salary: Open to discuss

Responsibilities

  • Ensure compliance with SFC regulations for Type 1, 4, and 9 activities; Type 6 is a plus but not mandatory
  • Monitor regulatory developments and assess impact on business operations
  • Liaise with SFC and other regulatory bodies as needed
  • Provide compliance support for underwriting mandates and pre-IPO investment projects
  • Review deal structures and documentation to ensure regulatory alignment
  • Prepare for future joint sponsor roles, including compliance readiness and due diligence standards
  • Develop and maintain internal compliance policies and manuals
  • Conduct staff training on regulatory updates and compliance best practices

Qualifications

  • Bachelors degree in Law, Finance, or related field; legal or compliance certifications preferred
  • Minimum 5 years of relevant experience in compliance within financial services or investment banking
  • Strong understanding of SFC regulatory framework, especially Type 1, 4, and 9
  • Experience in underwriting, fund management, and pre-IPO advisory highly desirable
  • Fluent in English and Chinese
  • Detail-oriented, independent, and able to work in a fast-paced environment

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