Director - Compliance for Corporate Finance & GCM

The Job:

• Supervise a team in conducting an internal review of IPO listing applications and giving advice on the implications of relevant Listing Rules prior to submission
• Set the policies and procedures for adherence to legal and regulatory requirements in the jurisdiction(s) where the corporation operates;
• Implement an effective compliance framework and ongoing compliance monitoring programs
• Supervise a team to Draft internal policies, procedures and guidelines to ensure business in compliance with the relevant regulatory requirements
• Monitor the business unit compliance with its established policies and procedures;
• Report on compliance matters to the Board and senior management
• Give advice to execution teams on IPOs and FA transactions, such as determining the due diligence plan, identifying issues arising from Listing Rules, addressing queries/concerns from the regulators, ensuring sufficient staff resources
• Work with Legal and Group Compliance in executing the Group policies and initiatives
• Keep team members abreast of any updates on Listing Rules, Practice Notes, Guidance Notes, Guidelines and any other rules and regulations relevant to our Type 6 RA
• Coordinate and liaise with regulatory authorities and other relevant counterparties for regulatory enquiries, reporting, inspection, investigation and due diligence
• Carry out other ad hocs compliance projects.

Requirements:

• We support local hire with solid relevant working experience in HK.
• Bachelor degree or above in Law or Accounting or related disciplines
• At least 8 years' relevant compliance experience in financial industry, Candidates with experience in handling or liaising with counterparts in international offices is preferred
• Excellent knowledge of SFO, Listing Rules and Takeover CodesGood management skill, initiative and logical sense, as well as, with strong sense of responsibility
• Experience in overseeing AML matters, restricted listing, wall crossing is an advantage
• Good command of written and spoken English and Chinese, fluency in Putonghua