Vice President, IBD Compliance and Quality Control

5 days ago

hong kong, Hong Kong SAR China Guoyuan International Holdings Limited Full time

Vice President, IBD Compliance and Quality Control Responsibilities: Review and provide comments on due diligence procedures and record keeping in IPO, FA, IFA, M&A, and capital markets transactions to ensure compliance with requirements from regulators such as the Hong Kong Stock Exchange and the Securities and Futures Commission of Hong Kong, while maintaining the bank's business standards. Support senior management on deal screening (i.e. Deal Screening Committee) and ensure sufficient due diligence has been performed and documented for Sponsor IPO transactions (i.e. Due Diligence Review Committee) before filling of A1 and other capital market transactions before launching. Review and comment on the submissions to regulatory authorities such as HKEx/SFC (i.e. prospectus, circular, announcement, reply letters, etc.) for quality control. Support internal and external inspections/reviews and communicate with Legal and Compliance Department, internal audit, headquarters, and external regulators as necessary. Assist the division/department head in monitoring and promoting compliance with internal and external policies and regulations. Assist to maintain and update internal procedures/manuals from time to time based on changes in market practice/regulatory updates. Provide risk/compliance-related analysis and data for internal use or headquarters from time to time. Regularly update and train the team on new rules and regulations, internal policies, and market compliance matters. Perform other duties as directed by seniors. Requirements: Bachelor's degree from a reputable institution with an outstanding academic background. Master’s degree and/or professional qualifications such as CPA, CFA, or legal studies are advantageous. At least 6-8 years of work experience (on HK IPOs) in reputable investment banks, Big 4 accounting firms or law firms. Previous experience in HKEx or SFC is highly preferred, particularly in vetting IPO transactions; Quality assurance, compliance, internal audit/internal control experience will also be considered. Strong attention to detail, a solid understanding of corporate finance and capital markets transactions, legal and compliance matters, good work ethics, and personal integrity. Proactive with strong organizational, analytical, presentation, communication, and interpersonal skills. Ability to effectively prioritize and handle multiple tasks under tight deadline. Familiarity with Listing Rules, guidance letters, and/or Takeover Codes. Excellent command of spoken and written English and Mandarin. Location: Central, Central and Western District, HK Company: Funde Asset Management (Hong Kong) Company Limited #J-18808-Ljbffr

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