IPO Compliance & Quality Control Associate

Guotai Junan (Hong Kong) Limited; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Guotai Junan (Hong Kong) Limited is seeking an experienced quality control professional to review IPO transaction documents, assess regulatory and legal risks, and ensure accuracy and consistency across all materials. You will collaborate with deal teams, legal and compliance to resolve issues and enhance IPO execution quality.

The role requires strong communication in English and Chinese, attention to detail, and the ability to train teams on regulatory guidelines while supporting day-to-day

Qualifications

• Bachelor degree in law, accounting, finance or other relevant professional qualifications.
• Minimum 4 years of relevant experience in quality control in investment bank or financial institution or IPO vetting.
• Candidates with experience in SFC or HKEx are preferrable
• Solid knowledge of regulatory requirements including the Listing Rules
• Knowledge of the execution and operational procedures for IPO transactions
• Proficiency in written and spoken English and Chinese (Mandarin and Cantonese)
• Excellent communication, presentation, organizational, and interpersonal skills
• Strong attention to detail, good judgment, and the ability to work under tight deadlines

Responsibilities

• Review IPO transaction documents for completeness, accuracy and consistency
• Work with deal teams, legal & compliance to resolve issues and improve IPO execution quality
• Assess regulatory, legal, and business risks of IPO transactions
• Review and provide feedback on IPO structures and related internal documents to ensure compliance
• Provide training and updates on regulatory requirements and guidelines
• Provide day-to-day support to the Investment Banking Division

Skills

Communication skills

English proficiency

Chinese proficiency

Attention to detail

Stakeholder coordination

Presentation skills

Education

Bachelor degree in law or finance

Job description

Guotai Junan (Hong Kong) Limited is seeking an experienced quality control professional to review IPO transaction documents, assess regulatory and legal risks, and ensure accuracy and consistency across all materials. You will collaborate with deal teams, legal and compliance to resolve issues and enhance IPO execution quality.

The role requires strong communication in English and Chinese, attention to detail, and the ability to train teams on regulatory guidelines while supporting day-to-day