IPO compliance

Our client is a leading Chinese securities firm, to cope with their expanding, they are now looking for a compliance talent to join their IBD.

Responsibilities：

• Advise management on compliance issues related to IPO projects;

• Establish compliance programs to ensure listing process are in compliance with regulatory requirements;

• Draft, develop and review compliance policies and procedures;

• Conduct regular compliance reviews on client investment suitability management, personal staff dealing, individual and corporate licensing, account-opening, etc.;

• Liaise with local regulators i.e. SFC, HKMA.

Requirements：

• Bachelor degree or above in law, finance, accounting or related disciplines;

• Minimum 3 years of compliance experience in banking industry, Investment banking & securities firm is preferred;

• Well-versed with listed rules and regulations in Hong Kong;

• Sound knowledge in regulators' requirements;

• Familiar with IPO process;

• Fluent in Mandarin and English.

Our client provides attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to eva.ho@elysianes.com