Investment Banking Compliance Advisor - ECM

Investment Banking Compliance Advisor - ECM

Compliance Permanent contract Hong Kong, Hong Kong Hybrid Reference 25000IFU Start date 2026/01/01 Publication date 2025/09/25

Responsibilities

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 condu...