- 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