Vice President, Fixed Income & Structured Product Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 29 Sep 16

Vice President, Fixed Income & Structured Product Compliance


Vice President, Fixed Income & Structured Product Compliance - supports the Global Markets (MARK) fixed income (sales and trading) division and structuring product (sales, engineering and trading) division, including the functions directly supporting the business line.

Primary responsibilities are to ensure that appropriate compliance arrangements and processes with respect to the business line are in place, that they are operational and robust, that the compliance team is able to provide effective and timely advice to business and compliance management, to partner effectively with other control and support functions as necessary and to play a full part in the management of regulatory and reputational risks arising from the business line in Asia.


Main responsibilities:

  • Establish and maintain a constructive, open relationship and dialogue with business, proactively promoting Compliance in front of the business, support functions and other control functions, whilst always maintaining an independence of viewpoint
  • Advise and alert business on key compliance and regulatory risks affecting their business areas, offering practical, timely solutions adapted to the business context to address and mitigate these risks as well as assisting business lines in the implementation of appropriate risk management solutions
  • Partner efficiently with other areas of Compliance and other support and control functions
  • Take responsibility for the advice given concerning compliance and regulatory risks arising from the introduction of new products and ensure appropriate contribution from Compliance to relevant new product approval processes
  • Contribute to the production and maintenance of the risk cartography of regulatory risks connected to the business line produced by Capital Market Surveillance and Risk Assessment, Monitoring and Testing Function, ensuring that the inherent regulatory risks posed by business activity are identified, along with the mitigating factors assessed to determine the residual risk and suitable actions required to further mitigate, or reduce, the regulatory risk
  • Animate regular meetings with business management involving other functions within Compliance as necessary to alert the business leadership to key regulatory and reputational risks, alerts arising from monitoring and other control activity undertaken by Compliance and forthcoming changes to regulation in Asia which may impact the business
  • Develop and deliver appropriate regulatory training for the business line using one-to-one or classroom methodologies
  • Maintain an awareness of all contact with regulators in Asia relevant to or specific to the business line
  • Manage timely and accurate responses to regulatory enquiries relevant to the business line, liaising with the business and other control and support functions to obtain information as required
  • Participate in compliance projects relevant to the business line and other projects as required by Compliance management
  • Escalate regulatory and reputational issues and risks in a proactive and timely manner to reporting manager.
  • Maintain a strong working knowledge of the regulatory and exchange rules and regulations applicable to the business line globally
  • Develop personally an understanding of current market practices relating to the operations of the business line and related compliance policies and practices, by developing relationships with compliance colleagues in other firms as well as by engagement with audit, consulting and legal firms with relevant knowledge and experience and with trade associations and other industry bodies


Candidate Profile


  • Graduate level with finance / legal or other professional qualification is required

Past experience

  • At least 5 - 8 years in compliance or equivalent experience relating to the business line activities


  • Fluent in English.

Technical skills

  • Strong working knowledge of the SFC / HKMA regulations and HKEx rules relevant to the business line.
  • Knowledge of the regulatory framework relevant to the main centres of operations of the business line in Asia
  • Good understanding of the business line activities

Personal abilities

  • Strong communications and influencing skills
  • Strong presentation and report-writing skills