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.
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
Internal Number: 4863482
About Haitong International Securities Group Limited
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