VP, IBD Compliance (IPO focus)

About Us: Join a leading Chinese investment bank, renowned for its commitment to excellence and innovation in the financial services industry. We are seeking a highly skilled IBD Compliance Specialist to ensure adherence to regulatory standards and best practices in IPO transactions.

Key Responsibilities:

• Provide first-line compliance advisory for IPO transactions.
• Ensure compliance with SFC and HKEX rules and regulations
• 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.
• Support strategic compliance initiatives and report to senior compliance leadership.

Qualifications:

• Minimum of 5 years of experience in compliance advisory for IPO transactions
• In-depth knowledge of SFC and HKEX rules and regulations
• Strong analytical, communication, and problem-solving skills.
• Proven ability to manage multiple projects and work effectively in a fast-paced environment.
• High level of integrity, professionalism, and attention to detail.