Legal & Regulatory Process Executive (Investment Banking)

• Be responsible for advising corporate clients in the planning and successful execution of the due diligence review/analyses of corporate clients. Prepare Information Memorandum, Offering Circulars, Prospectus and Application dossiers for filing to regulators such as to SSC, HOSE, HNX and VSD.

• Managing the execution of corporate transactions and related documents in the closing of Equity, Debt or M&A transactions.

• Analyze, review, and provide legal advice on all legal issues and documents that are required in the execution of advisory mandates by the Deal Directors of CFD/IB Division.

• Perform market, industry and company research in preparation for preparation of advisory service proposals, prospectuses, offering circulars, information memorandums and regulatory filings (to SSC, HOSE, HNX, VSD).

• Always keep updated and provide advice to HSC CFD/IB Division about all new applicable regulations, decisions and guiding circulars that affect the business activities of corporate clients and the advisory services provided by HSC to corporate and investor clients.

• Participate in providing feedback on draft amendments to legal documents as required.

• Liaise with regulatory authorities such as the State Securities Commission (SSC), Stock Exchanges (HOSE, HNX), the Vietnam Securities Depository and Clearing Corporation (VSDC), and other relevant regulators.

• Monitor and update policies, procedures, and advisory processes related to Corporate Finance Division operations.

• Other tasks required by management level.

1. Educational level

• Bachelor’s Degree in Finance and Accounting or Economics or Business Administration or in Engineering or in Laws.

• Financial Analysis Certificate issued by SSC is required.

2. Knowledge & Experiences

• From 3-7 years of experience in Investment Banking or Securities Brokerage or Corporate Law or Investment Law.

3. Technical skills

• Strong financial analysis skills and solid background in accounting or audit.

• Solid sense of logic & judgement and technology savvy /use of computers and mobile/digital applications such as Microsoft Office (Word, Excel-Macro, Power Point), Bloomberg and Google.

4. Soft skills

• Presentation skill.

• Verbal and written communication skills in both Vietnamese and English.

• Ability to take ownership of assigned tasks while ensuring personal work is consistently aligned with team goals, priorities, and timelines.

• Demonstrates integrity and honesty in daily interactions, adhering to codes of conduct.