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Regulatory Compliance Officer for Corporate Finance
1 month ago
We are seeking a highly skilled Regulatory Compliance Officer to join our team in Hong Kong. As a key member of our Corporate Finance division, you will be responsible for ensuring compliance with all relevant regulations and laws.
Company OverviewOur client is a leading investment bank that provides a range of financial services to clients across the globe. We are committed to delivering high-quality services while maintaining the highest standards of compliance and integrity.
Key Responsibilities- Provide compliance advisory on Corporate Finance Business coverage in IPO, ECM, DCM, and M&A.
- Identify and resolve Corporate Finance compliance problems, taking into account regional regulatory differences and Group policies.
- Develop, review, monitor, and enforce local and regional compliance procedures, policies, and best practices in accordance with all legal and regulatory requirements and internal policies.
- University degree holder.
- Corporate Finance Control Room Compliance experience in IPO, ECM, DCM, and M&A from Investment Bank, Securities Brokerage, or Financial Institutions.
- S sound knowledge of regulatory requirements and rules issued by SFC, HKEX, etc.
- Excellent command of spoken and written Chinese and English, including Cantonese and Putonghua.
This is an excellent opportunity to work with a leading investment bank in Hong Kong. The successful candidate will be offered a competitive salary package, including a base salary of HK$35,000 - HK$55,000 per month, as well as additional benefits such as bonuses and professional development opportunities.
