EQD Advisory Compliance

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Societe Generale
  • 23 Jun 18 2018-06-23

EQD Advisory Compliance


"Societe Generale is one of the leading European financial services groups. Founded in 1864, we have been playing a vital role in the economy for over 150 years. With more than 148,000 employees based in 76 countries worldwide, we accompany 32 million clients throughout the world on a daily basis. Based on a diversified universal banking model, the Group combines financial strength with a strategy of sustainable growth.

Our expertise in the Asia Pacific region ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Securities Services, Trade Finance and Cash Management Services. Leveraging on our formidable global footprint, we serve corporates, financial institutions and the public sector. With our regional headquarters in Hong Kong, we operate in 11 countries across Asia Pacific, employing over 6,600 employees. You can find us in Beijing, Seoul, Tokyo, Singapore, Mumbai, Sydney and other locations in the region.

At Societe Generale we have developed - and continue to develop - advanced programmes to support your career development. A diverse and comprehensive Learning & Development programme, a Junior programme for graduates and a Remuneration policy that stimulates your growth are just a few examples that illustrate how we help you to fulfill yourself personally and professionally, and how we develop your ability to adapt to ever-changing environments and transform challenges into opportunities."


Main Responsibilities

Based in Hong Kong, the incumbent will be responsible for:

  • Advising Business from both sales and trading sides on day-to-day compliance related matters
  • Providing advice on new product and new business structures
  • Updating Business on regulatory changes
  • Liaising with compliance officers in the region on business activities conducted across different countries
  • Handling regulatory inquiries
  • Handling complaints
  • Reviewing marketing materials
  • Assisting in the review and submission of regulatory reports
  • Assisting in handling various compliance projects
  • Assisting in development and maintenance of compliance policies and procedures where necessary
  • Conducting periodic compliance review for business lines
  • Promoting compliance awareness and culture within the Business and providing compliance training to the Business
  • Carrying out other compliance related duties as instructed by global/regional and Head of Compliance from time to time



  • Degree qualified with minimum 8 years compliance experience obtained within the investment banking/securities business
  • At least 3 years equities / equities derivatives floor based compliance experience or equivalent experience in the Asia Pacific market

  • Have excellent knowledge of rules and regulations related to equities in Asia Pacific market
  • Have excellent communication skills
  • Fluent in English and Chinese. Fluency in Putonghua is an advantage, but not prerequisite

  • Must be a fast-learner
  • Have attention to details
  • Independent and self-motivated
  • Good team player
  • Able to work under pressure