Chief Compliance Officer, Corporate Finance Operations

2 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

Global Executive Consultants Ltd. is seeking a highly skilled Compliance Manager to join our team in Hong Kong.

About the Role

This is an exciting opportunity to work with a leading investment bank and contribute to the development of their Corporate Finance Business compliance function. The successful candidate will provide expert guidance on regulatory requirements and ensure adherence to all relevant laws and regulations.

Responsibilities
  • Lead the development and implementation of compliance policies and procedures for the Corporate Finance Business, ensuring alignment with regional regulatory differences and Group policies.
  • Collaborate with cross-functional teams to identify and resolve compliance issues related to IPO, ECM, DCM, and M&A activities.
  • Monitor and enforce local and regional compliance procedures, policies, and best practices in accordance with all legal and regulatory requirements.
  • Liaise with local regulatory authorities, such as the SFC and other local financial authorities.
Requirements
  • University degree holder in a relevant field.
  • Minimum 5 years of experience in corporate finance control room compliance, preferably in IPO, ECM, DCM, and M&A from a reputable investment bank or financial institution.
  • Excellent knowledge of regulatory requirements and rules issued by the SFC, HKEX, etc.
  • Fluent command of English and Cantonese, with excellent written and verbal communication skills.

The estimated salary range for this role is approximately HK$35,000 - HK$55,000 per month, depending on qualifications and experience. If you are a motivated and detail-oriented professional looking to make a significant impact in a dynamic industry, please submit your application.



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