Our client, a Top-tier PRC investment bank, is now looking for an IBD Compliance to join them.
Responsibilities:
Review, update and revise due diligence procedures for IPO, FA, IFA, M&A, ECM and DCM transactions to ensure compliance with regulatory requirements.
Provide compliance advisory for HK IPO Sponsor projects’ DD materials, draft prospectus, project files.
Conduct due diligence assessments on clients, counterparties, and business partners to ensure compliance with anti-money laundering (AML), know your customer (KYC), and other relevant regulatory requirements.
Assist in the preparation of reports and presentations for senior management and regulatory bodies.
Handle internal audit, risk management and group compliance inspection and queries.
Prepared submissions and responses to regulators including SFC, HKEX, CSRC, etc.
Requirements:
Bachelor's degree in finance, business, or a related field.
Solid understanding of quality assurance, compliance and regulatory requirements etc, with at least 6 years of experience.
Experience in IPO sponsor vetting experience in regulatory bodies such as HKEx or SFC is highly preferred.
Excellent command of spoken and written English and Mandarin.