VP, Regulatory Compliance

Regulatory Affairs Management:

• Assist in handling day-to-day regulatory requests from HKMA, SFC and HKEX, including coordination of ad-hoc enquires, periodic reporting's and filings, offsite and onsite inspections.
• Monitor regulatory changes and communicate the regulatory changes to internal stakeholders on a timely manner. Follow up with the stakeholders until closure of actions.
• Identify the regulatory changes in-scope for Legal & Regulatory Change Committee (LRCC). Administrate the monthly LRCC by coordinating input from action owners.
• Liaise with head office in coordination of home regulator’s visit / inspection to APAC.
• Gatekeep the communication with regulators, make sure the message to be delivered in a coordinated manner and management being updated timely.
• Maintain regulatory communication records in an organized manner.
• Prepare management reports to highlight the key regulatory interactions

Compliance Advisory to Support Functions:

• Assist in providing advice to Support Functions (primarily Operations) on regulatory interpretation and compliance issues in relation to regulatory reporting (e.g. OTCD, OTCR, short position, large open position), client assets, investor identification regime, professional investor classification, outsourcing, record keeping, etc. Coverage will be for APAC with a focus on Hong Kong.
• Establish relationships with key stakeholders in the Support Functions, understanding their supervision and control frameworks in relation to regulatory matters and working with them on enhancements where appropriate.
• Perform annual risk assessment to identify major compliance risks within Support Functions.
• Perform initial assessment on outsourcing initiatives and subsequent periodic re-assessment.
• Monitor, distribute and follow up on regulatory changes which impact Support Functions.

• Degree qualified with compliance / consulting / audit experience obtained from corporate & investment banks (CIB), or supervisory experience on CIBs from regulatory bodies.
• Good understanding to CIBs' products, set-up, and applicable rules and regulations in Hong Kong and APAC.
• With excellent communication skills, fluent in English and Cantonese.
• A fast-learner, self-starter and good team player.
• Detail-oriented, independent and self-motivated.
• Able to work under pressure.
• With critical thinking and dare to challenge the status quo.
• With HKMA ECF certificate would be an advantage.

Behavioral Skills:

• Client - Client focus: I put long term relationship with our clients at the center of my actions, whatever my position
• Team Spirit - Synergies: I make cooperation with colleagues in and outside my team a priority
• Team Spirit - Open mindset: I listen and share my views and my expertise in an open mode
• Innovation - Thinking out of the box/Creativity: I propose new ideas and solutions
• Responsibility - Risk awareness: I am constantly on the lookout for risks
• Commitment - Sustainability: I strive to develop my skills and knowledge

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. The Compliance division is organized around:

Teams devoted to each business line in charge of ensuring the compliance of business activities to regulations, to the oversight of compliance risks and managing the deal flow.
Central teams in charge of defining compliance norms and standards, performing controls, as well as ensuring key cross-business functions such as digital transformation and training.