Investment Banking Compliance Advisor - ECM
Reference 25000 IFU
Responsibilities
Provide day-to-day compliance advisory to ECM, Corporate Finance, Syndicate, and Coverage teams on HK specific regulations
Interpret and advise on the SFO, Listing Rules, Takeovers Code, and sponsor regime under the SFC’s Code of Conduct and Listing Rules
Disclosure obligations, handling of inside information, pre-deal soundings and wall crossing protocols.
Transaction Oversight
Support due diligence, bookbuilding, and underwriting processes by ensuring adherence to regulatory and internal policies.
Monitor conflicts of interest, related party transactions, and independence requirements in sponsor and underwriting roles.
Participate in deal committees and conduct independent compliance reviews on IPSs, placings, rights issues, M&A, and privatizations.
Regulatory Engagement
Assist in handling SFC and HKEX enquiries, regulatory filings, or investigations related to ECM transaction.
Liaise with legal, risk, and control room teams to manage deal disclosures, leak management, and blackout lists.
Policy Development and Training
Draft, maintain, and deliver ECM compliance policies and procedures specific to HK
Deliver targeted training to bankers, syndicate, and support staff on HK Takeovers Code, market conduct, and IPO sponsor duties.
Governance and Control
Monitor and test compliance with key controls around deal approval, wall crossing, material non-public information (MNPI) and research analyst independence.
Maintain records to demonstrate compliance with due diligence guidelines and sponsor independence requirements.
Required
Profile required
Education and Experience
Bachelor’s degree in law, Finance, Legal qualifications are a plus
Substantial relevant experience in ECM Compliance, Legal or Regulatory Advisory, preferably within a global investment bank or HK Law firm.
Strong working knowledge of all the investment banking related regulations
Skills & Competencies
Deep understanding of equity capital markets deals structures, lifecycle, and transactions risks
Strong analytical and problem-solving skills with high attention to detail.
Excellent communication and interpersonal skills, able to deliver clear advice under pressure
Fluent in English
Proven ability to work independently and collaboratively with multiple stakeholders across functions
Comfortable in a fast-paced and dynamic deal driven environment
Behavioral Skills
HKMA Enhanced Competency Framework (ECF) certification is preferred
Client - Risk: I strive to satisfy clients while taking into account risks for the company
Client - Understanding and Respect: I listen to clients and colleagues in order to understand and anticipate their needs
Team Spirit - Conflict Management: I deal with conflicts proactively and in a positive mode
Innovation - Simplification: I make things & ideas simple
Responsibility - Risk awareness: I am constantly on the lookout for risks
Commitment - Sustainability: I strive to develop my skills and knowledge
Diversity, Equity & Inclusion (DE&I):
Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our vision:
Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
Engage our community and marketplace, and position the organization to meet the needs of all its clients
We are an
equal opportunities employer
and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and
promoting all talents , regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.
