Risk Management and Compliance Analyst

Key Responsibilities

·        Conduct compliance reviews of IPO’s and other capital-raising activities

·        Ensure deal documentation and disclosures comply with SEC, FINRA, and other regulatory requirements

·        Assist in identifying and mitigating compliance risks during due diligence and transaction structuring

·        Monitor investment banking activities for compliance with insider trading laws, conflicts of interest policies, and other ethical guidelines

·        Assist in enforcing information barriers to prevent information leakage between teams

·        Maintain accurate records of compliance reviews, audits, and approvals

·        Prepare reports on compliance findings and recommendations for senior compliance and legal teams

·        Assist in developing and updating compliance policies

·        Support training programs for deal teams on regulatory requirements and compliance best practices

·        Conduct regular reviews of communications and transaction data to detect potential violations or risks

·        Collaborate with compliance officers to investigate and resolve flagged activities

Qualifications

·        Hardworking undergraduate or recent graduate

·        Preferably relevant experience in Finance, Economics, Data Analytics, or other related fields

·        Working knowledge of Microsoft Office Suite, especially Word, Excel, and PowerPoint

·        Excellent analysis, communication, organizational, and time-management skills

·        Ability to multitask and work under pressure

·        Ability to work collaboratively with others in a team environment

·        Bilingual in both Chinese and English