Description

• Ensure compliance with SFC regulations for Type 1, 4, and 9 activities; Type 6 is a plus but not mandatory
• Monitor regulatory developments and assess impact on business operations
• Liaise with SFC and other regulatory bodies as needed
• Provide compliance support for underwriting mandates and pre-IPO investment projects
• Review deal structures and documentation to ensure regulatory alignment
• Prepare for future joint sponsor roles, including compliance readiness and due diligence standards
• Develop and maintain internal compliance policies and manuals
• Conduct staff training on regulatory updates and compliance best practices

• Bachelor's degree in Law, Finance, or related field; legal or compliance certifications preferred
• Minimum 5 years of relevant experience in compliance within financial services or investment banking
• Strong understanding of SFC regulatory framework, especially Type 1, 4, and 9
• Experience in underwriting, fund management, and pre-IPO advisory highly desirable
• Fluent in English and Chinese
• Detail-oriented, independent, and able to work in a fast-paced environment