Have over 5 years’ experience in providing compliance & regulatory advice to corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/Takeover Code related transactions & capital raising activities.
Have compliance experience on handling independence check, conflict of interest clearance, new project engagement and Anti-Money Laundering (AML) clearance.
Provide compliance advice on Chinese Wall policy, watch list update, restricted list update, research restriction update etc.
Provide control room and research compliance function, including to provide clearance for research reports, pre-deal research reports, marketing and roadshow materials and other research products.
Provide compliance advice on licensing, staff dealing, CPT and other compliance review & projects.
Have experience handling regulators inspection and enquiries will be preferred.
Good communication in Chinese & English