Director, FIC & TRE Advisory Compliance, Asia Pacific

Reports to: APAC Regional Head of Global Markets Compliance

Job Description:

• To support in advising and overseeing the FIC & Treasury business with respect to their management of regulatory and reputational risk.

Key Roles and 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 relating to the business line in relation to the APAC markets
• Providing advice on new products and activities, or significant changes to existing products or activities
• Updating business on regulatory changes and work with business to implement the necessary controls and framework accordingly    
• Liaising with compliance officers in the region on business activities conducted across different countries and sharing best practices
• Handling regulatory inquiries
• Handling incidents, complaints and investigations    
• 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 and assessments for the business line    
• Promoting compliance awareness and culture within the business line and providing compliance training to the business line
• Advising and informing the APAC Regional Head of Global Markets Compliance on non-compliance risks
• Carrying out other compliance related duties as instructed your hierarchy from time to time

Business skills:

• Significant knowledge of the regulatory environment in the financial sector or in a regulatory/supervisory control body
• Significant knowledge of control techniques
• Significant knowledge of compliance risks management and analysis
• Significant knowledge of the banking, financing and insurance environment
• Extensive knowledge of FIC & Treasury products and markets
• Extensive knowledge in FIC & Treasury Advisory
• Good knowledge of HKMA, SFC and other APAC regulations
• Fluent English is mandatory

Leadership skills:

• Strong leadership and communication skills
• Managerial experience with high-risk awareness
• Ability to discuss with the business (adopting an independent partner posture, while understanding concerns), of having convictions and keeping them, and ability to explain its positions
• Independent and self-motivated, ability to make decisions, rigor
• Integrity, exemplarity
• Coordination, animation, convincing and motivating skills
• Managing in a matrix environment, transversality, ability to collaborate, influencing skills
• Ability to organize, structure, engage and build up the junior

Other qualities:

• A fast learner
• Pay attention to details
• Able to work under pressure

Behavioral Skills:

• Innovation - Thinking out of the box/Creativity: I encourage and demonstrate positive out of the box thinking
• Team Spirit - Open mindset/Respect: I listen and share my views and my expertise in an open mode
• Responsibility - Risk awareness: I am constantly on the lookout for risks
• Client - Risk: I strive to satisfy clients/internal partners while taking into account risks for the company
• Commitment - Care: I listen and demonstrate emotional intelligence to engage my team
• Responsibility - Performance: I strive to generate high individual and collective performance

Our vision of Compliance:

The Group’s activities are carried out in strict compliance of the rules. In particular, the Group’s strives to:

• Collect all information required in the context of customer knowledge (KYC: Know Your Customer) in order to meet regulatory requirements while maintaining customer satisfaction.
• Work with clients and partners whose practices comply with international anti-money laundering and anti-terrorist financing rules and standards.
• Strictly comply with the rules of embargoes and international financial sanctions.
• Protect the interests of each customer by offering tailored products and services as part of personalized advice and follow this advice over time.
• Carry out the controls and declarations necessary for the transparency and integrity of the markets.
• Prevent and manage conflicts of interest.
• Respect the data protection of its customers and employees.
• Apply all rules to ensure tax transparency
• Manage the risks of serious environmental and human rights violations related to its activities and ensure compliance with its voluntary CSR commitments.
• Fight corruption, develop a culture of compliance among its employees and ensure that they can exercise their right to report

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/

Department Description:

What is Compliance?
Acting in Compliance consists of knowing and respecting the rules issued by the regulators. So that all Group staff can act in a compliant manner, the rules have to be expressed in a clear and simple way, and every member of staff must be made aware of these rules and trained in accordingly. The purpose of these rules is to ensure the transparency of the Bank’s relations with its clients and supervisors, as well as its integrity. Compliance is thus the bedrock of trust between the Bank and its stakeholders.

A strengthened organization

The Compliance Department (CPLE) reports directly to the Group’s General management, as an independent and fully-fledged department. It is headed by Grégoire Simon-Barboux, a member of the Group’s Executive Committee. Numerous committees and exchange spaces in the presence of the Group’s General Management and the Board of Directors make it possible to determine the Group’s main guidelines and principles in terms of compliance.