VP, IBD Compliance - Investment Bank

Company : Michael Page

Job Description - VP, IBD Compliance - Investment Bank

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

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VP, IBD Compliance - Investment Bank

Job Description - VP, IBD Compliance - Investment Bank

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