Associate / VP - Central Compliance, Regulatory Affairs - Legal / Taxation / Compliance Hong Kong Associate / VP - Central Compliance, Regulatory  …

in Hong Kong, Hong Kong, Hong Kong
Contract, Full time
Last application, 05 Apr 20
in Hong Kong, Hong Kong, Hong Kong
Contract, Full time
Last application, 05 Apr 20
Associate / VP - Central Compliance, Regulatory Affairs - Legal / Taxation / Compliance Hong Kong

• Regulatory Affairs Management

1. Assist in handling day-to-day regulatory requests from HKMA and SFC, including coordination of ad-hoc enquires, risk assessments, outsourcing applications and supervisory onsite inspections.

2. Liaise with head office in coordination of home regulator's visit / inspection to APAC.

3. Gatekeep the communication with regulators, make sure the message to be delivered in a coordinated manner and management being updated timely.

4. Maintain regulatory communication records in an organized manner.

5. Prepare management reports to highlight the key regulatory interactions

• Compliance Advisory to Support Functions

Assist in providing advice to Support Functions (primarily being Operations and Client Onboarding) on regulatory interpretation and compliance issues in relation to regulatory reporting, client assets, professional investor classification, outsourcing, data privacy, record retention, e-banking etc. Coverage will be for Asia Pacific with a focus on Hong Kong.

Profile Required

Degree of autonomy

• As part of the Central Compliance team the post holder is expected to ensure proactive communication of relevant issues to hiring manager and/or other senior teammates.

Internal & external contacts

• The post holder will have a unique opportunity to apprehend the various businesses of a top-tier investment bank and will support regulatory affairs coordination and Support Function advisory as undertaken by the Central Compliance team. The position will involve interaction with Compliance team colleagues locally, regionally and globally as well as other stakeholders including senior management.

Specific context

• The post holder must actively work as a team member, and will be required to frequently interact or communicate with global/ regional and local Compliance team members and other stakeholders including senior management.



• Undergraduate degree or above

Past experience

• Minimum 6 years of experience in Compliance function.
• Previous experience in Regulatory Compliance is an advantage.
• Previous experience in investment banking or financial institution is preferred.


• Excellent command of spoken and written English and Chinese is required.

Technical skills

• Regulatory background, with solid knowledge of HKMA and SFC rules is an advantage.
• Knowledge of compliance framework and financial products is an advantage.

General Competencies:

Operational Skills

Regulatory Skills

Communication Skills

Flexibility- Adaptability

Ability to make decisions

Ability to work under pressure

Analytical Skills



Business Insight

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.

This is a fixed term 6-month contract. As a member of Hong Kong Central Compliance - Regulatory Affairs, you will support the team in delivering its remit including regulatory affairs management and compliance advisory to Support Functions.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 200005FU

Business unit: Societe Generale Hong Kong Branch

Starting date: Immediate

Date of publication: 21/02/2020


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