Associate / Vice President – Compliance Control Room (APAC)

About the Role

Reporting to the APAC Control Room Head, you will play a key role in designing, implementing, and evolving the compliance framework governing information barriers, conflicts of interest, and market conduct across Asia Pacific. You will work closely with investment banking, research, and other private side and public side teams to ensure that our regulatory obligations and internal standards are met. You will also collaborate extensively with counterparts in other regions, contributing to global harmonisation of best practices.

Transactional Conflicts of Interest & Information Barriers

• Identify, assess and resolve conflicts of interest relating to investment banking, research, and private side activities.
• Perform and document conflicts checks for CIB transactions and promptly communicate outcomes to relevant business units.
• Maintain Watch, Restricted and Insider Lists and ensure integrity of all associated processes.
• Provide compliance clearance for investment research and validate required disclosures.
• Manage Wall Crossing and Information Barrier procedures in line with policy.
• Track exclusivity and NFR clauses in internal systems.

Personal Account Dealing (PAD) & Transversal Compliance Topics

• Oversee PAD approvals and processes in accordance with Asia Pacific PAD Policy.
• Conduct SG quarterly insider validation exercises.
• Update Control Room policies and procedures and support training initiatives across business lines.
• Produce regular management metrics and reporting related to Control Room activities.
• Support incident and breach management, ensuring accurate recording and escalation.
• Participate in periodic controls and contribute to strengthening existing control frameworks.

Regional & Global Collaboration

• Partner with Control Room teams worldwide to drive alignment and best practice enhancement.
• Engage with Compliance IT and regional stakeholders to improve systems and tools.
• Lead or participate in regional and global projects as assigned.

Behavioural

• Strong integrity, rigor, and sound judgement.
• Ability to work independently and escalate issues proactively.
• Strong teamwork and communication across functions and jurisdictions.
• Able to work under pressure and manage competing priorities
• Flexible and adaptable to evolving business needs.

Technical

• Prior experience in a Control Room role or research clearance is strongly preferred.
• Solid understanding of regulatory frameworks around Chinese Walls, inside information, conflicts of interest, and investment research.
• Good knowledge of investment banking workflows, deal flow and private side processes.
• Excellent communication, influencing and presentation skills.
   

Why Join Société Générale?

• A leading international financial institution with a strong regional presence in APAC
• Opportunities for cross border exposure and global collaboration
• A culture that values integrity, continuous improvement and responsible banking
• Career growth supported by training, mentorship, and mobility opportunities

Our Culture: 

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. Please visit our APAC career website: https://www.societegenerale.asia/en/careers/building-your-career-with/ for more information.

Diversity, Equity & Inclusion (DE&I):

Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents 
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

Check out our DE&I initiatives: https://www.societegenerale.asia/en/careers/diversity-equity-inclusion-dei/

Societe Generale is committed to offering inclusive recruitment experience to all candidates.  If you require any reasonable accommodation of assistance during the recruitment process, please do not hesitate to let our HR staff know.

Department Description

Société Générale is seeking a dynamic and experienced Associate / Vice President to join our APAC Compliance Control Room team in Hong Kong. This role sits at the heart of the firm’s information governance, conflicts management, and regulatory risk oversight across the region. This is an exceptional opportunity for compliance professionals with strong Control Room or research clearance experience who want to drive regional impact and help uphold the highest standards of market integrity within a leading global financial institution.