Associate/VP, Central Compliance - Regulatory Affairs
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 Hong Kong Central Compliance - Regulatory Affairs, you will support the team in delivering its remit including regulatory affairs management and compliance advisory to Support Functions . Mission Main responsibilities
Regulatory Affairs Management
Compliance Advisory to Support Functions
- Assist in handling day-to-day regulatory requests from HKMA and SFC,
- including coordination of ad-hoc enquires, risk assessments, annual
- offsite reviews, prudential meetings, outsourcing application and
- supervisory onsite inspections.
- 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
- Maintain regulatory communication records in an organized manner.
- Prepare management reports to highlight the key regulatory interactions
- Assist in providing advice to Support Functions (primarily being
- Operations, Client Onboarding, Technology) on regulatory interpretation
- and compliance issues in relation to regulatory reporting, client assets,
- professional investor classification, 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
- Perform risk assessment to identify major compliance risks within
- Support Functions.
Graduate level or above Past experience
Minimum 5 years of experience in Compliance or equivalent experience.
Previous experience in Regulatory Compliance is an advantage.
Previous experience in investment banking or financial institution is preferred. Languages
Excellent command of spoken and written English and Chinese is required. Technical skills
Regulatory background, with solid knowledge of HKMA and SFC rules is an advantage.
Knowledge of compliance framework and financial products is an advant Personal abilities
Good communications and influencing skills
Detail-oriented and organized
Good analytical skills and a critical thinker
Open-minded, willing to take suggestions and work together for solutions
Proactive with a strong motivation to learn and gain knowledge required to