Posted on 2021-10-12

SVP/VP, Compliance - Control Room (Investment Bank, Attractive Bonus, Central)

Conners Consulting Limited

Our client, a well-established investment bank to invite high calibre candidates to join their company.


  • Perform daily control room function 
  • providing compliance & regulatory advices to corporate finance businesses, covering IPO, ECM, DCM, M&A
  • Providing compliance & regulatory advices to corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/Takeover Code related transactions & capital raising activities
  • 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.


  • Bachelor degree holder
  • At least 5 years of experience in Finance Industry, Investment Bank or sizable brokerage firm;
  • Familiar with Securities and Futures Ordinance 
  • Good team player with ability to work independently under pressure and time constraints;
  • Excellent spoken and written English and Chinese including Mandarin.
To apply, please send your detailed resume or contact Boei Yan at 3460 2012 for a confidential discussion.
Only shortlisted candidates will be notified. 
Applicants who are not contacted within two weeks may consider their applications unsuccessful.
All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong
Tel: (852) 3996 8090        Website:

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More job information
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 5-day week
  • Discretionary bonus
  • Insurance plan
  • Medical plan