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Investment Banking Quality Assurance Manager

1 week ago


Hong Kong Island, Hong Kong SAR China China Securities (International) Finance Holding Company Limited Full time

We are seeking a highly experienced and skilled Senior Vice President to join our Investment Banking team as the Quality Control department. This role is responsible for ensuring that all transactions executed by our teams meet the highest standards of quality, risk management, and compliance.

Job Description:

The ideal candidate will have a Master's degree in Finance or a related discipline from a reputable university and at least 4-7 years of work experience in reputable investment banks, Big4 accounting firms, or law firms. Previous experience in HKEx or SFC is preferred.

  • Solid knowledge of regulatory requirements including the Listing Rules and the Takeovers Code;
  • Knowledge of the execution and operational procedures for different kinds of corporate finance;
  • Preferable with working experience in Chinese deals;
  • Attained all regulatory criteria for carrying out investment activities;

Key responsibilities include:

  1. Assist the team leader to establish, maintain and review the internal control measures on Investment Banking Department;
  2. Support the team leader on deal screening (i.e. DSC meeting) and ensure sufficient due diligence was done for IPO transactions (i.e. DDC meeting);
  3. Identify and resolve the issues that the Investment Banking Department encountered in the daily operations to enhance the efficiency and effectiveness of the Department;
  4. Strengthen the internal control systems by continuously refining the Procedural Manual and other work arrangements, etc.;
  5. Promote the sense of and create a corporate culture of quality assurance, conscientiousness, risk and compliance;
  6. Provide sound advice to Investment Banking Department to enhance the overall deal quality and facilitate transactions executed by Teams;
  7. Review and comment on the submissions to regulatory authorities (i.e. prospectus, circular, announcement, reply letters, etc.) to improve the quality of submissions;
  8. Liaise with regulatory authorities to facilitate the execution of transactions.