Associate/Associate Director, Quality Control, Investment Banking

Position Description

The Quality Control (International) team (“QC”) of the Investment Banking Department reports to the Global Head of Quality Control and the Head of Investment Banking Department (International). QC provides technical support and assist in effectively monitoring and controlling business risks of the Investment Banking Department. You will be responsible for improving the execution quality of Hong Kong and overseas investment banking business by conducting independent review of various transaction documents and due diligence.

Key Areas of Responsibilities

• Reviewing, maintaining and improving internal quality control policy and framework, transaction approval process and the relevant IT system.
• Reviewing due diligence performed by deal teams and the underlying due diligence record.
• Reviewing and approving various transaction documents.
• Assessing the regulatory and business risk of investment banking transactions, and reporting to senior management where necessary.
• Organizing and participating in internal committee meetings which consider the acceptance and launch of investment banking transactions.
• Conducting research, internal statistics and other ad-hoc tasks as required from time to time.
• Liaise with compliance, legal, and front-office teams to ensure risk issues, quality control findings, and process improvements are communicated effectively and implemented promptly.
• Prepare and present research reports, internal performance statistics, trend analyses, and other data-driven insights to assist management in decision-making and strategic planning.
• Undertake ad hoc projects and special assignments, such as policy updates, system enhancements, regulatory change implementation, or cross-department initiatives, as directed by senior management.

Requirements

• Bachelor’s degree or above in relevant disciplines.
• Minimum 5 years’ relevant working experience in global investment banks, law firms or big four audit firms with knowledge of various financial products and regulations of the capital markets and securities companies in Hong Kong and overseas.
• Experience in overseas capital markets is a plus.
• Good communication and coordination skills, with excellent team spirit, conscientious and meticulous, strong sense of responsibility and stress tolerance.
• Good command of spoken and written English and Mandarin, using English and Mandarin as working language.
• Strong analytical and problem-solving skills, with the ability to handle multiple tasks independently and meet tight deadlines in a fast-paced environment.

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