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
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