Key Responsibilities

• • • • • • • • • • • • • • • • Lead and manage the compliance team.

                              • Provide compliance advisory to IBD project teams & Institutional Sales team. Review key transaction documents to ensure full compliance with the SFC Code of Conduct, HKEX Listing Rules, and the Takeovers Code.

                              • Redesign and oversee the Control Room framework. Manage the firm’s Restricted List, Watch List, and wall-crossing clearances.

                              • Identify, evaluate, and timely implement updates in response to regulatory shifts (e.g., CSRC filing rules for overseas listings, SFC regulations on book-building and placing activities, and SPAC frameworks). Update internal Policies & Procedures (P&Ps) accordingly.

                              • Act as a key point of contact for local and cross-border regulators. Manage regulatory enquiries, inspections, and thematic audits from the SFC and HKEX.

                              • Ensure all IBD staff hold appropriate SFC licensing and meet CPT examination requirements. Deliver regular compliance and AML training tailored to corporate finance professionals.

Requirements

• • • • • • • • • • • • • • • • • • • • Bachelor’s degree in Law, Finance, Accounting, or a related discipline.

                                      • 15+ years of solid compliance experience within an SFC-licensed corporation, investment bank, or financial regulator (SFC/HKEX).

                                      • Excellent analytical skills, high integrity, and the ability to confidently provide compliance advice to senior management and deal committees under pressure.

                                      • Professional fluency in English, Cantonese, and Mandarin.