Director, Equity & Equity Derivatives Compliance, Asia Pacific

Reports to: APAC Regional Head of Global Markets Compliance

Job Description

• To support in advising and overseeing the Equities & Equity Derivatives 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 product and new business structures    
• Updating Business on regulatory changes    
• Liaising with compliance officers in the region on business activities conducted across different countries
• Handling regulatory inquiries    
• Handling complaints    
• 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 for the business line    
• Promoting compliance awareness and culture within the business line and providing compliance training to the business line
• Carrying out other compliance related duties as instructed by global/regional and Head of Compliance from time to time

• Degree qualified with compliance experience obtained within the investment banking/securities business
• Excellent equities / equities derivatives floor-based compliance experience or equivalent experience in the APAC markets
• Excellent knowledge of rules and regulations related to equities and equity derivatives in APAC markets
• Excellent communication skills
• Fluent in English and Chinese. Fluency in Putonghua is an advantage, but not prerequisite
• A fast-learner and a self-starter
• Have attention to details
• Independent and self-motivated
• Good team player
• 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 

HKMA Enhanced Competency Framework (ECF) certification is preferred

Company Description

Societe Generale is one of the leading European financial services groups. Based on a diversified and integrated banking model, the Group combines financial strength and proven expertise in innovation with a strategy of sustainable growth. Committed to the positive transformations of the world’s societies and economies, Societe Generale seeks to build together with its clients, a better and sustainable future through responsible and innovative financial solutions. Active in the real economy for over 160 years, with a solid position in Europe and connected to the rest of the world, Societe Generale has over 126,000 employees in 65 countries and supports 25 million individual clients, businesses and institutional investors worldwide (figures as of January 2024). We have a presence in 11 locations across Asia Pacific. With our regional headquarters in Hong Kong – a core hub of the worldwide Societe Generale Group – we employ around 2,200 employees in the region. In addition, Societe Generale's Global Solution Centre (SGGSC) in Bangalore and Chennai supports the Group in Asia Pacific and globally with customized business solutions.

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.

Compliance’s priorities

The Compliance division ensures:

• Compliance with laws, rules and ethical principles specific to banking activities and investment services undertaken by the Group, as well as compliance with staff members’ personal rules of good conduct and ethics;
• Awareness-raising and training of all players in preventing non-compliance and reputational risks.
• Our compliance behavior is a key part of our business as a responsible banker and our ambition to be the relationship-focused bank that enjoys the trust of our clients, and is illustrated by our Code of Conduct, which has been translated into 24 languages and is given to each new Group staff member.