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.
Requirements:
Bachelor's degree in Law, Finance, Accounting, or a related field;
5–10 years of compliance experience in Hong Kong licensed institutions, with at least 3 years focused on IPOs. In-depth knowledge of key regulatory frameworks, including the SFC Corporate Finance Adviser Code of Conduct.
Strong stress tolerance and cross-departmental collaboration skills.
Proficiency in both written and spoken English and Chinese (fluency in Mandarin is a must).
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