Associate, Licensing & Registration

Permanent contract|Hong Kong|Compliance

Associate, Licensing & Registration

Hong Kong, Hong Kong Permanent contract Compliance

Responsibilities

The individual will be a compliance officer in the central compliance team for Hong Kong, specialising in Hong Kong licensing and registration matters.

Key responsibilities:  

  • Hands-on role to manage and perform tasks and processes related to entity and staff licensing and registration, including supervision of those outsourced to offshore service centre, and day-to-day interactions with stakeholders
  • Handle disclosure and notification to regulators on licensing matters in a disciplined manner to meet strict regulatory timelines
  • Perform licensing applications and maintain records of individuals including those of licensed staff, directors and senior managers  such as Manager-in-Charge and CE/ACE/72B Manager under HKMA and SFC regulatory regimes and those of group entities  
  • Support staff to meet continuous professional training (CPT) and other licensing requirements
  • Handle enquiries from regulators on entity and staff licensing and registration matters, and provide tailored advice to enquiries from business and other internal stakeholders 
  • Support licensing and regulatory initiatives such as leading IT development, performing risk assessment and proposing framework enhancement
  • Keep abreast of regulatory requirements including those on licensing and maintain policies and procedures to ensure compliance
  • Serve as main liaison with licensing contacts at HKMA, SFC and exchanges and foster overall good relationship with regulators

Profile required

Education: undergraduate degree in finance, legal or others is required

Past experience: minimum 5-7 years of Compliance experience - work experience in licensing areas would be a plus

Languages: fluency in English - fluency in Chinese would be a plus

Technical skills: Good knowledge of the Hong Kong licensing and registration rules and regulations, financial products and financial regulatory environment

Personal abilities:

  • Strong communication and interpersonal skills, able to deal professionally and effectively with stakeholders including senior management and regulators.
  • Strong work ethic, proactive and self-motivated, able to manage large workload and work schedule driven by deadlines 
  • Great resilience, able to multitask, handle pressure and meet strict deadlines
  • Strong sense of responsibility, commitment and integrity

BEHAVIORAL SKILLS

  • Client - Client  focus: I put long term relationship with our clients at the center of my actions, whatever my position 
  • Client - Risk: I strive to satisfy clients while taking into account risks for the company
  • Innovation - Thinking out of the box/Creativity: I propose new ideas and solutions
  • Responsibility - Risk awareness: I am constantly on the lookout for risks 
  • Team Spirit - Collective mindset: I favour the team’s interest over my own results
  • Commitment - Sustainability: I strive to develop my skills and knowledge

HKMA Enhanced Competency Framework (ECF) certification is preferred.

Business insight

Company Description
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 133,000 employees based in 61 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.

ASIA-PACIFIC (ASIA), as one of the Business Units of Societe Generale, operates in 12 locations across the Asia Pacific region, employing over 2,500 employees with the regional headquarter located in Hong Kong. Our activities here are centered on Societe Generale's Global Banking & Investor Solutions pole (GBIS), a major growth engine for the Group and a key pillar of Societe Generale's universal banking model. Our expertise in Asia Pacific ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Global Transaction Banking and specialised financial services like Equipment & Vendor Finance and Vehicle Leasing & Fleet Management. In addition, Societe Generale's Global Solution Centre (SGGSC) in Bangalore and Chennai offers customised business solutions to the Societe Generale Group globally including ASIA.

Department Description

Within Central Compliance function (CPLE/ASI/REG), the Hong Kong Licensing and Registration team is responsible for handling and advising on licensing and registration matters, monitoring compliance with local regulations and managing relationships with Hong Kong regulators.

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, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 230001EW
Entity: Societe Generale Hong Kong Branch
Starting date: 2023/02/17
Publication date: 2023/01/17
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