IPO Quality Control & Compliance Associate

Guotai Junan International Holdings Limited; Hong Kong; On-site; HKD 700,000 - 1,000,000; Full time

Job summary

Guotai Junan International Holdings Limited is seeking an Associate in Quality Control within Corporate Finance & ECM to review IPO documents and due diligence to ensure completeness and consistency.

You will collaborate with deal teams, legal and compliance to resolve issues, assess regulatory risks, and provide feedback on structures and internal materials to maintain regulatory standards and high execution quality.

Qualifications

• Bachelor degree in law, accounting, finance or other relevant professional qualifications.
• Minimum 4 years of relevant quality control experience in investment bank or financial institution or IPO vetting; SFC/HKEx pref.
• Solid knowledge of regulatory requirements including the Listing Rules.
• Knowledge of IPO transaction execution and operational procedures.
• 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 ability to work under tight deadlines.

Responsibilities

• Review the IPO transaction documents (e.g. prospectus, A1 documents), due diligence materials and supporting records to ensure completeness, accuracy and consistency
• Work closely with deal teams, legal & compliance team and other internal stakeholders to resolve issues and improve IPO execution quality
• Assess the regulatory, legal, and business risks associated with IPO transactions
• Review and provide feedback on IPO transaction structures, approval materials, and related internal documentation to ensure compliance with regulatory requirements and guidelines
• Provide training and updates on regulatory requirements and guidelines
• Provide day-to-day support to the Investment Banking Division

Skills

English proficiency

Chinese proficiency

Communication

Attention to detail

Deadline-management

Team collaboration

Education

Bachelor's degree in law/ accounting/ finance

Job description

Guotai Junan International Holdings Limited is seeking an Associate in Quality Control within Corporate Finance & ECM to review IPO documents and due diligence to ensure completeness and consistency.

You will collaborate with deal teams, legal and compliance to resolve issues, assess regulatory risks, and provide feedback on structures and internal materials to maintain regulatory standards and high execution quality.