Senior Compliance Advisor (ibd Focus) At Professional Services
Me2Works
On-site
Regulatory compliance advice for ibd
Compliance in ecm and dcm transactions
Monitoring inside information and control room functions
You will provide regulatory compliance advice on corporate finance activities including ECM, secondary equity placements, and debt issuance while ensuring adherence to Hong Kong regulatory requirements
Job Summary
You will provide regulatory compliance advice on corporate finance activities including ECM, secondary equity placements, and debt issuance while ensuring adherence to Hong Kong regulatory requirements.
The role involves proactive monitoring and communication of regulatory developments affecting IBD and managing compliance risks through collaboration with business stakeholders.
You will assist in control room functions, develop compliance policies, participate in product approval processes, and deliver compliance training to support the corporate finance compliance framework.
Matching Summary
You will provide regulatory compliance advice on corporate finance activities including ECM, secondary equity placements, and debt issuance while ensuring adherence to Hong Kong regulatory requirements.
Skills & Requirements
Must-have
Regulatory compliance advice for IBD
Compliance in ECM and DCM transactions
Monitoring inside information and control room functions
Stakeholder management and communication
Bookbuilding and order placement compliance
Nice-to-have
Experience with SFC Takeovers Code
Knowledge of Hong Kong Listing Rules
Experience with equity sales and trading compliance
Analytical and attention to detail skills
Compliance training delivery
Key Requirements
6-8 years compliance experience in HK corporate finance
ECF-Compliance accreditation preferred
University degree in law, finance, or accounting
Experience with HK Listing Rules and SFC Codes
Experience in investment banking compliance functions