Central Compliance, Regulatory Oversight

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 20 Feb 18 2018-02-20

Central Compliance, Regulatory Oversight


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.

As a member of the Hong Kong Central Compliance - Regulatory Oversight, you will assist in regulatory change management, anti-bribery, compliance policy management, training coordination and management information reporting.

Mission

Main Responsibilities



Regulatory Change Management

  • Track, analyse and disseminate regulatory changes
  • Manage regulatory watch database for the region
  • Coordinate regulatory change analysis and process for changes and follow up with impacted business or support functions to ensure impact assessment, action plans and documentation
Enterprise-wide Compliance Coordination on Anti-Bribery Matters
  • Develop and maintain strong partnership with global / regional compliance peers in support of strengthening our anti-bribery framework
  • Establish, maintain and ensure implementation of the anti-bribery framework across the region
  • Advise on all anti-bribery related matters to ensure compliance with the global / regional policies
APAC Compliance Policies and Training Coordination
  • Establish and implement global / regional polices framework
  • Develop, review and update compliance policies and procedures as required across the region
  • Deliver compliance training to employees on compliance matters for staff awareness and good compliance culture
Management Information Reporting
  • Prepare compliance management information reporting to regulatory / governance forums and internal stakeholders
Ad-hoc Projects
  • Contribute to global and regional projects and initiatives, as and when required.


Profile

Education

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


Past Experience

  • Minimum 7 years of experience in Central Compliance or equivalent experience
  • Previous experience in investment banking or financial institution would be an advantage
  • Previous experience in regulatory Compliance and/or regional coverage is preferred
Languages

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


Technical Skills

  • Competent regulatory background, with knowledge in HKMA and SFC rules
  • Good knowledge of compliance framework and financial products


General Competencies

  • Operational Skills
  • Regulatory Skills
  • Communication Skills
  • Flexibility - Adaptibility
  • Ability to make Decisions
  • Ability to Work Under Pressure
  • Analytical Skills
  • Initiative
  • Teamwork


Personal Abilities
  • Good communications and influencing skills
  • Good analytical skills and a critical thinker
  • Open-minded, willing to take suggestions and work together for solutions
  • Proactive with a strong motivation to learn and gain knowledge required to perform