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IBD Compliance (SVP), Well Established Chinese iBank

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

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Responsibilities:
  • 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.


Requirement:
  • 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

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