Director, Central Compliance - Regulatory Affairs

Hong Kong
30 Oct 2018
03 Nov 2018
Contract type
Full time



SG CIB is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia. SG CIB provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

As a member of the Hong Kong Central Compliance team - Regulatory Affairs, you will assist in handling regulatory enquiries and coordinating inspections and examinations. Working closely with the Support Functions (including Operations, IT and non-Front Office Departments) and management team, you will provide compliance advisory on regulatory matters and transactions related regulatory issues as well as regulatory impacts that may arise from firm-wide / business changes.


Main Responsibilities:

Manage a small team to

  • Manage the bank's relationships with HKMA and SFC, as well as home regulators during their visit in Asia Pacific.
  • Handle regulatory requests, including ad hoc enquires, risk assessments, annual offsite review, prudential meeting, outsourcing application and supervisory onsite inspections.
  • Provide advice to Support Functions and management team on regulatory interpretation and compliance issues in relation to client assets, professional investor classification, regulatory reporting, outsourcing, data privacy, record retention, e-banking, technology development etc. Coverage will be for Asia Pacific 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 risk assessment to identify major compliance risks within Support Functions including Operations and IT Departments.
Degree of autonomy/Level of authority

The post holder is expected to work as the team head for the Central Compliance Team - Regulatory Affairs and to ensure proactive upward reporting of relevant issues as required to Regional Head of Compliance Regulatory Affairs, Asia Pacific.

Internal & external contacts

• Frequent interaction and communication internally with management, business lines, Support Functions and externally with regulators

Specific context

• The post holder must actively work as a team


Candidate Profile:


• Graduate level with legal / finance or other professional qualification is required

Past experience

  • Minimum 10 years of working experience in Compliance department
  • Previous experience in regulatory Compliance and/or regional coverage.
  • Good knowledge of regulatory and internal control requirements


• Fluent in English & Chinese .

Technical skills

  • Strong working knowledge of the SFC / HKMA regulations
  • Good knowledge of compliance framework and financial products
  • Strong written and oral communication

General Competencies Required
  • Management Skills
  • Operational Skills
  • Regulatory Skills
  • Communication Skills
  • Flexibility - Adaptability
  • Ability to make Decisions
  • Ability to Work Under Pressure
  • Analytical Skills
  • Initiative
  • Leadership Qualities
  • Teamwork

Personal abilities

  • Self-motivated, good leadership skill and a team player
  • Strong communications and influencing skills
  • Ability to report in due time, identify priorities & address difficult situations with autonomy
  • Pro activity and solution oriented, proposition-making mindset
  • Good interpersonal skills

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