Central Compliance, Regulatory Affairs

Hong Kong
20 Feb 2018
23 Feb 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

  • Assist in managing 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 asset, 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



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

Past Experience

  • Minimum 6 years of working experience in Compliance department
  • Relevant experience in other risk control functions with good understanding of middle and back office operations will also be considered
  • Relevant experience with regulators will also be considered
  • Good knowledge of regulatory and internal control requirements

  • Fluent in English & Chinese

Technical Skills

  • Strong working knowledge of the SFC / HKMA regulations

General Competencies

  • Operational Skills
  • Communication Skills
  • Regulatory Skills
  • Flexibility - Adaptibility
  • Ability to make decisions
  • Ability to work under pressure
  • Analytical Skills
  • Initiative
  • Teamwork

Personal Abilities

  • Strong prioritization and problem-solving skills with the ability to multi-task and work under pressure and timeline
  • Detail oriented, high integrity and excellent work ethics
  • A self-starter with the ability to work independently and in a group setting
  • Ability to identify and articulate compliance issues