Description

• Regional Exposure
• Competitive Compensation

About Our Client

Our client is a well-established Chinese investment bank with a strong presence in Hong Kong and overseas markets. The firm is known for its robust Investment Banking platform, advising on high-profile IPOs, capital markets transactions, and cross-border M&A deals for PRC and international clients.

Job Description

• Provide compliance advisory support to the Investment Banking Division on IPOs and other capital markets and advisory transactions
• Coordinate and conduct IPO independence checks in collaboration with deal teams and internal stakeholders
• Advise the business on regulatory requirements, including the SFC Code of Conduct, SEHK Listing Rules, and internal policies
• Perform ongoing monitoring and reviews of IBD activities
• Review, update, and implement policies and procedures affecting the investment banking business
• Handle or assist with compliance breaches, internal investigations, and regulatory enquiries
• Deliver compliance training to bankers in partnership with business management and other control functions
• Work closely with AML, licensing, surveillance, and local/offshore compliance teams on cross-functional matters

The Successful Applicant

• Bachelor's degree or above in Law, Accounting, Finance, or a related discipline
• Minimum 8 years of relevant experience in compliance, legal, or control functions within an investment bank, financial institution, regulator, law firm, or consulting firm
• Solid experience supporting Investment Banking Division (IBD) activities; IBD compliance experience is essential
• Strong knowledge of Hong Kong investment banking regulations and listing rules
• Experience working with or liaising with local regulators is highly preferred
• Strong judgment, analytical ability, and stakeholder management skills
• Excellent command of written and spoken English and Chinese (including Mandarin)

What's on Offer

• Growing and reputable Chinese investment bank
• Strong deal exposure
• Visibility to senior stakeholders
• Long-term career development