Compliance Manager

Responsibilities:

• Develop and implement compliance policies and procedures.
• Monitor and review IPO-related activities to ensure regulatory compliance.
• Conduct risk assessments and compliance audits.
• Collaborate with internal stakeholders to address compliance issues and provide training.

Requirements:

• Bachelor's degree in Law, Finance, Accounting, or a related field;
• 5–10 years of compliance experience in Hong Kong licensed institutions, with at least 3 years focused on IPOs. In-depth knowledge of key regulatory frameworks, including the SFC Corporate Finance Adviser Code of Conduct.
• Strong stress tolerance and cross-departmental collaboration skills.
• Proficiency in both written and spoken English and Chinese (fluency in Mandarin is a must).