IBD Compliance VP/ Associate Director

Job Summary:

We are seeking an experienced and proactive compliance professional to join the Legal & Compliance team as an Associate Director supporting the Investment Banking Division (IBD). This role is pivotal in ensuring regulatory compliance across corporate finance, M&A, and capital markets transactions, while managing reputational and regulatory risks.

Key Responsibilities:

• Transaction Compliance Oversight:

  • Provide compliance advisory support on IPOs, M&A, and other corporate finance transactions.
  • Review due diligence procedures, deal documentation, and marketing materials to ensure regulatory compliance.
  • Monitor and assess conflicts of interest and manage wall-crossing protocols in coordination with the Control Room.

• Regulatory Advisory & Monitoring:

  • Interpret and apply relevant regulations (e.g., SFC, HKEX, global standards) to IBD activities.
  • Liaise with regulators and internal stakeholders on compliance matters and regulatory inquiries.
  • Conduct periodic reviews and surveillance of IBD activities to identify potential compliance risks.

• Policy Development & Training:

  • Develop and update internal compliance policies and procedures tailored to IBD operations.
  • Deliver training sessions to bankers and deal teams on compliance best practices and regulatory updates.
  • Promote a strong compliance culture across the division.

• Audit & Reporting:

  • Support internal and external audits, regulatory inspections, and compliance testing.
  • Prepare regular compliance reports and risk assessments for senior management.
  
  

Qualifications:

• Bachelor's degree in Law, Finance, Business, or related discipline; legal or compliance certification is a plus.
• Minimum 7 years of experience in IBD compliance, legal advisory, or regulatory roles within financial institutions.
• Strong knowledge of Hong Kong and international securities regulations and capital markets.
• Excellent communication, analytical, and stakeholder management skills.
• Fluency in English and Mandarin is required; Cantonese is advantageous.