Investment Banking Compliance Advisor - ECM

Investment Banking Compliance Advisor - ECM

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...