This job has expired

You will need to login before you can apply for a job.

IBD Compliance (SVP), Well Established Chinese iBank

Executive X Consultants Limited
Hong Kong, Hong Kong
Attractive Remuneration
Closing date
Dec 12, 2023

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Providing compliance & regulatory advices to corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/ Takeover Code related transactions & capital raising activities.
  • Handle independence check, conflict of interest clearance, new project engagement and Anti-Money Laundering (AML) clearance.
  • Provide compliance advice on Chinese Wall policy, watch list update, restricted list update, research restriction update etc.
  • Provide control room and research compliance function, including to provide clearance for research reports, pre-deal research reports, marketing and roadshow materials and other research products.
  • Provide compliance advice on licensing, staff dealing, CPT and other compliance review & projects.

  • Bachelor/ Postgraduate degree in business related discipline;
  • Minimum 5 years relevant experience in SFC type 6 licenced financial institution
  • Familiar with investment banking operations with relevant experience in project management and possess sound analytical skills;
  • Strong command of spoken and written English and Chinese is essential;

***all personal data will only be used for recruitment purpose only

Sign in to create job alerts

Sign in or create an account to start creating job alerts and receive personalised job recommendations straight to your inbox.

Create alert