Quality Control, Investment Banking

GF Securities (Hong Kong); Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

GF Securities (Hong Kong) is seeking an experienced Investment Banking professional to support deal screening and ensure thorough due diligence for IPO transactions.

You will review submissions to regulators, strengthen internal controls within the Investment Banking Department, and refine the Procedural Manual to improve overall deal quality and regulatory compliance. Proficiency in English and Mandarin is essential, with prior HKEx/SFC exposure preferred.

Qualifications

• Bachelor's degree in Finance or related discipline from a reputable university.
• Minimum 5 years in reputable investment banks, Big4, or law firms; HKEx/SFC preferred.
• Strong knowledge of Listing Rules and IPO execution procedures; proficiency in English and Mandarin.

Responsibilities

• Support Signing Principals on deal screening and due diligence for IPOs.
• Review and comment on submissions to regulators to improve quality.
• Maintain and review internal control measures in the Investment Banking Department.
• Refine the Procedural Manual and other work arrangements to strengthen controls.
• Advise IB Department to enhance deal quality and facilitate transactions.
• Liaise with regulatory authorities to facilitate transaction execution.

Education

Bachelor's degree in Finance or related discipline

Regulatory compliance

Deal screening

Financial analysis

English

Mandarin

Job description

Responsibilities

• Support the Signing Principals on deal screening and ensure sufficient due diligence was done for IPO transactions;
• Review and comment on the submissions to regulatory authorities (i.e. prospectus, circular, announcement, reply letters, etc.) to improve the quality of submissions;
• Maintain and review the internal control measures on Investment Banking Department;
• Strengthen the internal control systems by continuously refining the Procedural Manual and other work arrangements, etc.;
• Provide sound advice to Investment Banking Department to enhance the overall deal quality and facilitate transactions executed by Teams;
• Liaise with regulatory authorities to facilities the execution of transactions.

Requirements

• Bachelor degree holder in Finance or related discipline(s) from a reputable university;
• At Least 5 years work experience in reputable investment banks, Big4 accounting firms or law firms. Previous experience in HKEx or SFC is preferred; Junior candidates can be associate level.
• Solid knowledge of regulatory requirements including the Listing Rules
• Knowledge of the execution and operational procedures for IPO transactions
• Attained all regulatory criteria for carrying out investment activities;
• Good command of written and spoken English and Mandarin.