Compliance - Control Room Associate/VP

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Societe Generale
  • 18 Sep 18 2018-09-18

Compliance - Control Room Associate/VP


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 APAC Control Room team in the Compliance Department based in Hong Kong, you will assist in handling research clearance and other associated Control Room tasks such as to ensure appropriate identification, management and resolution of conflicts of interest arising from the investment banking relationship and research business line; and to provide timely advices on internal policies regarding research, conflicts of interest, Chinese Walls and other control room processes.


Main Responsibilities:

  • To capture and to record on the conflicts management system all relevant
  • CIB transactions submitted to the Control Room where conflicts of interest may occur
  • To ensure that appropriate conflicts checks are undertaken ahead of new deals from private side business lines taking place, where required, and that appropriate and prompt notification of the results of the conflicts checks is made to the relevant business lines, once the conflict checks are completed
  • To clear any potential conflicts of interest arising from private side activities in accordance with the Conflicts of Interest Policy and to escalate to the Head of the Control Room and to the relevant Compliance advisor as appropriate
  • Maintenance of the Watch, Restricted Lists and associated processes and controls
  • To Support of other Compliance functions in particular with the monitoring of transactions and related restrictions Validation and maintenance of the insiders lists
  • To actively and promptly handle wall crossing requests according to the internal Wall Crossing policy
  • To contribute to the enhancement of the Control Room processes and tools
  • To contribute to the update of the IBCR procedural manual
  • Handling, with the Advisor team, the recording of breaches arising related to CR processes, and escalating as appropriate
  • To attend relevant Work in Progress business line meetings from time to time, as assigned within the team and the head of the Control Room
  • To review Research publications in order to identify and manage conflicts of interest
  • Proactive dialogue and liaison with control room in other locations on a regular and frequent basis to contribute and promote a consistent approach to the resolution of issues arising beyond the APAC perimeter.
  • To assist other Compliance Advisors for trainings to the business lines and other members of Compliance on CR process related topics and New hired trainings as assigned within the team and the head of the Control Room
  • Contribution to the performance of Permanent Supervision controls within the control room team, including improving current procedures and controls
  • Handling the process for personal account dealings, approving requests for Hong Kong as required per the Personal Account Policy.
  • Handling the process for and maintenance of the register of Outside Business Interest for SG Hong Kong staff

Degree of autonomy/Level of authority:

The post holder is expected to work as part of the control room team and ensuring proactive upward reporting of relevant issues as required to the Head of Control Room.

Internal & external contacts:

Regional Head of Compliance

Specific Context:

The post holder must actively work as a team, with frequent interaction and
communication with overseas Control Room and other APAC Compliance team.


Candidate Profile:


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

Past experience:

  • Minimum 3 years of working experience in Compliance, Control Room / Research department for Associate. VP level will be offered for candidates with more experience
  • Previous experience in investment banking or financial institution, with a strong
  • European background , would be an advantage
  • Good understanding of investment banking transactions is required
  • Good knowledge of regulatory and internal control requirements, particularly in relation to regulatory requirements for th e management of conflicts of interest and research


Fluent in English. Fluency in Chinese is an advantage, but not prerequisite

Technical skills:

  • Strong working knowledge of the SFC / HKMA regulations relevant to research and management of conflicts of interest matters
  • Good understanding of the European regulations relevant to research.

Personal Attributes:
  • Be a team player and able to work under pressure
  • Good communications and influencing skills
  • Good analytical skills and be able to make decisions
  • Open-minded, willing to take suggestions and work together for solutions
  • Proactive with a strong motivation to learn and gain knowledge required to perform