Description

IBD Compliance Associate

Location: Hong Kong

A leading investment bank is seeking an IBD Compliance Associate to join its Hong Kong office. This is an excellent opportunity for compliance professionals looking to work closely with front office investment banking teams on a broad range of corporate finance and capital markets transactions.

Responsibilities

• Provide day-to-day compliance advisory to Investment Banking and Corporate Finance teams
• Advise on Hong Kong IPOs, equity and debt capital markets transactions, and M&A activities
• Interpret and apply Hong Kong Listing Rules, Sponsor Guidelines, Takeovers Code and relevant SFC regulations
• Review business activities, transactions and marketing materials to ensure regulatory compliance
• Support regulatory projects, policy implementation and compliance monitoring programmes
• Liaise with internal stakeholders, regulators and external counsel on compliance matters
• Keep abreast of regulatory developments and assess their impact on the business

Requirements

• Approximately 3-5 years of relevant experience gained within:
  • Investment Banking Compliance
  • Corporate Finance Compliance
  • Sponsor Compliance
  • Primary Market Compliance
  • HKEX Listing Division / IPO Vetting
  • SFC Corporate Finance Division
• Strong knowledge of Hong Kong Listing Rules and corporate finance regulations
• Experience supporting IPO, ECM, DCM and/or M&A transactions
• Excellent stakeholder management and communication skills
• Fluent English, Mandarin and Cantonese