Client Background
Our client is a leading financial institution with a strong presence in Asia. Known for its high compliance standards and robust governance framework, the firm is expanding its Investment Banking Compliance team to support growing deal flow and advisory activities. This is an excellent opportunity to join a dynamic environment where quality and expertise are highly valued.
Job Responsibilities
- Provide advisory support to Investment Banking teams on regulatory requirements, internal policies, and best practices across IPOs, M&A, and capital markets transactions.
- Act as a key liaison with regulators and internal stakeholders on compliance matters, ensuring timely and accurate communication.
- Review and approve marketing materials, research reports, and transaction documentation to ensure compliance with applicable rules.
- Monitor and manage conflicts of interest, information barriers, and control room activities.
- Contribute to policy development and training initiatives to strengthen compliance awareness within the business.
Job Requirements
- Minimum 8 years of experience in Investment Banking Compliance, with strong exposure to advisory work.
- Solid understanding of Hong Kong regulatory frameworks (SFC, HKEX) and global standards.
- Prior experience in control room functions is advantageous, but advisory expertise is essential.
- Strong communication and stakeholder management skills; ability to work effectively in a fast-paced environment.
- Fluency in English; Cantonese/Mandarin proficiency is a plus.
