VP, IBD Compliance (IPO focus)
About Us: Join a leading Chinese investment bank, renowned for its commitment to excellence and innovation in the financial services industry. We are seeking a highly skilled IBD Compliance Specialist to ensure adherence to regulatory standards and best practices in IPO transactions.
Key Responsibilities:
- Provide first-line compliance advisory for IPO transactions.
- Ensure compliance with SFC and HKEX rules and regulations
- Develop and implement compliance policies and procedures.
- Monitor and review IPO-related activities to ensure regulatory compliance.
- Conduct risk assessments and compliance audits.
- Collaborate with internal stakeholders to address compliance issues and provide training.
- Support strategic compliance initiatives and report to senior compliance leadership.
Qualifications:
- Minimum of 5 years of experience in compliance advisory for IPO transactions
- In-depth knowledge of SFC and HKEX rules and regulations
- Strong analytical, communication, and problem-solving skills.
- Proven ability to manage multiple projects and work effectively in a fast-paced environment.
- High level of integrity, professionalism, and attention to detail.
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