Compliance Analyst, Licensing & Registration

Fixed term contract|Hong Kong|Compliance

Compliance Analyst, Licensing & Registration

  • Hong Kong, Hong Kong
  • Fixed term contract
  • Compliance


  • Hands-on role to manage and perform tasks and processes related to entity and staff licensing and registration with Hong Kong regulators (i.e. HKMA and SFC) and exchanges for which SG Hong Kong entity hold membership, including supervision of those outsourced to offshore service centre, and day-to-day interactions with stakeholders
  • 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  
  • Handle disclosure and notification to regulators on licensing matters in a disciplined manner to meet strict regulatory timelines 
  • Monitor and support staff to meet exam and continuous professional training (CPT) and other licensing requirements and prepare report
  • Serve as main liaison with and handle enquiries from licensing contacts at HKMA, SFC and exchanges, and provide tailored advice to enquiries from business and other internal stakeholders on entity and staff licensing and registration matters 
  • Support licensing and regulatory initiatives such as IT development, risk assessment and framework enhancement
  • General record keeping and administration on internal and external platforms e.g. SFC WINGS
  • Keep abreast of regulatory requirements including those on licensing and maintain policies and procedures to ensure compliance

Profile required

  • 1 to 3 years of experience in Compliance field, preferably on SFC/HKMA Licensing & Registration regime
  • Fluent in English
  • Good communication skills
  • Attention to details
  • Team-worker
  • Display responsibility, commitment and act ethically


  • 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
  • Team Spirit - Collective mindset: I favour the team’s interest over my own results
  • Innovation - Technology: I adopt new  technologies in the solutions and projects I work on
  • Responsibility - Risk awareness: I am constantly on the lookout for risks 
  • Commitment - Sustainability: I strive to develop my skills and knowledge

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

Central Compliance function (CPLE/ASI/REG) is responsible for regulatory affairs management, compliance advisory to Support Functions, regulatory watch and licensing. Coverage will be primarily Hong Kong with certain coordination with other APAC compliance teams.

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: 23000G8O
Entity: Societe Generale Hong Kong Branch
Starting date: 2023/06/01
Publication date: 2023/05/18