Job Requirements
- Perform IPO independence checks
- Provide advisory and maintenance on company policies, SFC's Code of Conduct and SEHK's Listing Rules
- Conduct regular compliance monitoring and checks
- Provide assistance in handling policy breaches, internal investigations, and regulatory matters
- Coordinate and implement trainings internal stakeholders
- Provide assistance to compliance teams on AML, licensing and surveillance matters
- Provide support to local teams on country-specific matters
- Regularly liaise Legal team regarding transaction specific matters
Qualifications
- Over 3 years of relevant experience in global investment banking and IPO businesses
- Well-versed in global investment banking regulations and IPO matters
- Proficiency in English; Proficiency in Cantonese and Mandarin is highly advantageous
