Risk Scope:
The compliance department is responsible for the definition and consistency of the compliance risk prevention and control framework. Compliance risks consist in know your customer (KYC); sanctions and embargoes (S&E); money laundering and terrorist financing (AML/CTF); customers protection; integrity of the financial markets; countering bribery and corruption, ethics and good conduct; compliance with international tax regulations (e.g. FATCA, CRS); data protection; and ESG (Environmental & Social Governance). The successful candidate will assist the head of Compliance at SG Securities Taipei in overseeing the risks listed above.
Main missions:
Norms: contribute to the definition of the overall normative framework of the Compliance service and monitor its implementation (regulatory watch, global/regional policy developments watch, implement required changes locally)
Management support: contribute to the support senior management of the entity in managing compliance risk and resolving compliance issues
Advisory: advise and alert business leaders on key compliance and regulatory risks affecting their business areas
Compliance Production: assist the compliance manager in running compliance production functions: KYC, AML, S&E, capital market surveillance, control room, and related controls. Exercise oversight of distributed services (e.g. outsourced / offshored).
Awareness: contribute to raising awareness among entity employees regarding compliance risks and the strengthening of the compliance culture
Risk Assessment: Contribute to the mapping and analysis of the compliance risk, including running the compliance risk assessment
Reporting & Committees: assist the head of compliance in consolidating and monitoring significant compliance events in the entity, perform relevant escalation, attend committees relevant to the function (entity management committee, new product committee etc.)
Relationship with authorities: together with the head of Compliance, coordinate relationship with local authorities:
Developing and maintaining a strong working knowledge of the regulatory and exchange rules and regulations applicable to the business
Maintaining an awareness of all contact with regulators relevant to the business, participating personally in meetings with regulators on material matters
Managing timely and accurate responses to regulatory enquiries, liaising with the business and other control and support functions to obtain information as required
Enhancing a strong understanding of current market practices relating to the operations of the business by developing relationships with the compliance community (e.g. other Firms, audit, consulting, legal firms and with trade associations and other industry bodies)
Reporting lines: the role has reporting line to the Head of Compliance for SG Securities Taipei (based in Taipei).
Education: Graduate level with finance / legal and Securities Specialist License (業務員) or other professional qualification is required
Experience:
Skills and Knowledge Required:
Competencies:
Company Description:
Societe Generale Group is one of Europe's leading financial services groups and a major player in the economy for over 150 years, supports 30 million clients every day with 133,000 staff in 61 countries.
The SG Securities Taipei entity provides a range of services including brokerage of cash equity, warrants, as well as bonds underwriting.
SG Securities Taipei is currently looking for a Compliance Staff. This is an exciting opportunity to join a dynamic team in a business growth phase and get hands-on experience within a fast-paced, results focused, global organization. The successful candidate will be able to build close relationships with the business teams onshore and within the organization more broadly on a regional and global basis. This position is reporting to the head of Compliance at SG Securities Taipei.
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.