Regulatory Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 01 Oct 16

Regulatory Compliance


Environment

SG CIB is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia.SG CIB provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

Mission

PRINCIPAL RESPONSIBILITIES

Regulatory Affairs & Projects

  • Handling all regulatory requests, including ad hoc enquiries, risk assessments, offsite review, prudential meeting, outsourcing application and onsite inspections
  • Follow up implementation of recommendations from regulators/internal audit.
  • Reviewing circulars and guidelines and assist with implementation of regulatory changes and/or regulatory expectations;


Regulatory Reporting

  • Represent Compliance in Local Regulatory Reporting Committee in Hong Kong
  • Supervise production and/or submission of regulatory reports that Compliance has the ownership of in Hong Kong
  • Advise internal stakeholders on regulatory changes impacting regulatory reporting


Normative Documentation

  • Review compliance manuals, policies and procedures to ensure they are in line with local regulatory and Group requirements (HK and Regional)
  • Update compliance policies in HK on ad hoc basis if they are impacted by regulatory changes
  • Management Reporting
  • Compile weekly / monthly / quarterly compliance reports to head office / management / executive committee (HK and Regional)


Risk Assessment and Controls

  • Assist to perform compliance risk assessment on middle office and back office operational functions


Profile

Required Skills

  • Working experience in audit, compliance, or operational risk (>8 years)
  • Working knowledge of CIB business processes and operations
  • Team player
  • Strong verbal & written communication
  • Strong analytics
  • Self motivated and delivery oriented