VP, Compliance Officer (primary market / investment banking)

About the role

Responsible for providing compliance supervision and support for primary market (investment banking) business to ensure the Company's business operation adheres to relevant legal and regulatory requirements.

Key responsibilities

Assist to design, implement and maintain effective compliance program (including but not limited to policies and procedures) to ensure compliance with the applicable regulatory requirements.

Assist in compliance monitoring, testing and internal reviews with regard to primary market business lines including IBD, ECM, DCM and Syndicate.

Advise business on compliance issues in transactions and provide ongoing guidance to the business on KYC, conflicts check, due diligence, sponsor & OC's duty, independence check, book building and allocation and other regulatory compliance related issues.

Review investment banking projects and conduct compliance check to ensure projects are executed in accordance with the latest regulatory requirements.

Undertake annual assessment of sponsor work and other periodical compliance review and check, draft reports and monitor follow up measures.

Communicate with relevant regulators (e.g., SFC, HKEX) and internal teams on compliance issues, provide solutions to properly address the issue and handle inquiries from the regulators.

Handle inter-group projects and update and maintain internal policies & procedures to properly address legal and regulatory risks associated with investment banking business.

Conduct regulation and market practice research, provide compliance training to brief and advise business units on the latest regulatory requirements and best practice.

Handle Head Office enquiries and various reporting tasks in a timely manner.

About you

College degree holder in law, accounting, finance, corporate governance, business management or related discipline(s) from reputable university.

Minimum 4 years compliance experience in investment-banking firms, law firms, audit firms, and/or regulatory bodies.

Familiar with capital markets transactions, securities law and regulations (such as the SFO, HKEx listing rules), SFC Code and Guidance and market best practice.

Good knowledge of investment banking business, sponsor work, Chinese wall and general compliance matters.

Experiences in managing compliance with SFC/HKEX rules and regulations would be a plus.

Demonstrate organized and details-oriented capabilities, problem solving and analytical skills.

Self-motivated, independent and a team player with good communication skills at all level.

Good command of written and spoken English and Chinese (including Putonghua).

Full-time