Investment Banking Compliance Advisor - ECM

Advisory and Regulatory Interpretations

·       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.

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 s 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

HKMA Enhanced Competency Framework (ECF) certification is preferred

Behavioral Skills

·       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

Check out our DE&I initiatives: https://www.societegenerale.asia/en/careers/diversity-equity-inclusion-dei/

Hybrid Work Environment:

Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols.  Hybrid work arrangements vary based on business area.  The applicable Business lines will determine and communicate the work arrangements that best meet their business needs

Department Description

SG HK Compliance Department is seeking a highly motivated and knowledgeable ECM Compliance Officer to support our Equity Capital Markets (ECM) and Investment Banking teams in HK.

The role will provide the successful candidate with a unique opportunity to apprehend the various Investment Banking businesses of a top-tier European bank and will be evolving at the forefront of regulatory developments. The position will involve the opportunity to contribute to the build-up and growth of the ECM and M&A franchise and will be in constant interaction with senior management, business lines, and various compliance teams. It is suitable for candidates with appetite for exciting challenges from transforming projects, day-to-day production and advisory components of a role at senior level.

The Investment Banking Compliance Advisor reports hierarchically to the APAC Head of GLBA (Global Banking and Advisory business line) Compliance Advisory and Control Room and primarily supports Investment Banking business, ECM and M&A (IBD), within GLBA (Global Banking and Advisory).

In this capacity, the role includes the support of growth projects in the IBD area, with a leadership mandate to establish the compliance support framework for the new / developing activities, including but not limited to the establishment of ECM franchise in Hong Kong.

Our Culture:

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

Please visit our APAC career website: https://www.societegenerale.asia/en/careers/building-your-career-with/ for more information.