Compliance Manager, Corporate Finance (Control Room) (HK$35 K - $55 K) (Ref. No.: 26452)Our client, a leading investment bank, is looking for a high-caliber person to fill the position. Job Duties Provide the Bank’s Corporate Finance Business compliance function including Control Room and Corporate Finance Business. 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. Involve in compliance monitoring with all external regulations and internal codes, policies, and good market practices. Liaise with local regulatory authorities, e.g., SFC and other local financial authorities. Job Requirements University degree holder. Corporate Finance Control Room Compliance experience in IPO, ECM, DCM, and M&A from Investment Bank, Securities Brokerage, or Financial Institutions. 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.
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