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

Regulatory Engagement

Policy Development and Training

Governance and Control

Profile required

Education and Experience

Skills & Competencies

HKMA Enhanced Competency Framework (ECF) certification is preferred

Behavioral Skills

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 :

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.