IBD Compliance - Hong Kong, 香港 - Cornerstone Global Partners

描述

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.