Director, Compliance IT & Digital Advisory - Legal / Taxation / Compliance Hong Kong Director, Compliance IT & Digital Advisory - Legal  …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 09 Jul 19
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 09 Jul 19
Director, Compliance IT & Digital Advisory - Legal / Taxation / Compliance Hong Kong

Compliance supervision of the IT departments

IT departments are composed of infrastructure IT (helpdesk, hosting services, connectivity), and systems IT (building and operating applications).
For these departments, the candidate will be the compliance contact point.

Operationally, the candidate will be responsible for:
  • Implementing an oversight of Compliance risks for IT departments: indicators, governance
  • Working with the IT managers to develop a culture of compliance amongst the IT teams (awareness actions, trainings etc.)
  • Working with the IT teams to develop and maintain practices that comply with the applicable rules and regulations
  • Providing compliance advice to IT teams (projects, incidents management, etc.)

Compliance advisory on innovative & digital solutions

As an illustration, "innovative & digital solutions" recently included: deployment of our digital global markets platform across the region (for research distribution, execution and post trade services), and the deployment of various initiatives leveraging data lake technology and cloud technology.

The candidate will coordinate the effort for Asia Compliance in order to provide a consolidated and documented compliance advise and validate the launch of digital initiatives on behalf of Compliance in the region.

In concrete terms, the candidate will be responsible for:
  • Developing & maintaining a structured approach to Compliance Advisory on Digital Matters
  • Providing compliance advice on digital matters to Business Lines and Support Functions
  • Coordinating the interactions with regulators on digital matters, in relationship with central compliance team
  • Representing Compliance in relevant forums (Fintech forum etc.)
  • Updating relevant parties on regulatory changes
  • Socializing the Compliance "DOs & DON'Ts" on digital matters
  • Communicating on the progress and upcoming developments to the Compliance community in the region

Personal Data Protection Officer (DPO) for Asia-Pacific

Following the implementation of GDPR (General Data Protection Regulation) data privacy from the EU applicable to our Societe Generale Group, the Group decided to deploy a network of Data Protection Officers (DPO) all across the Group (inside and outside of the EU) to ensure data protection compliance.

As DPO for Asia-Pacific region, the candidate will be responsible for:

- Information & Advisory:
  • Informing data controllers, processors and their employees on data privacy obligations
  • Providing advise & guidance on data usage
  • Raising awareness on data privacy
  • Performing technological & regulatory watch
- Compliance Monitoring:
  • Contributing to norms design / monitor policies & standards
  • Updating the internal policies to ensure the compliance with regulations "accountability principle"
  • Defining LoD 1 (First Line of Defense) controls in coordination with operational teams and LoD 2 controls (Second Line of Defense) with Compliance control team
  • Ensuring the compliance process with GDPR based on LoD 2 controls
  • Steering associated "remediation plans" (inform, advise and issue recommendation)
  • Reporting annually to the Asia Data Controller
- Cooperation & Point of Contact:

  • Being the single point of contact for the Group DPO and for Asia on data subjects (customers / staff / lobbying) and for Data Protection Authority requests / complaints / audits
  • Crisis management (data breach)

All our positions are open to people with disabilities


Technical skills:

Required/Must Have:

  • Sound knowledge and understanding of recent technologies
  • Knowledge of the CIB environment (activities & processes)
  • Presentation and communication skills; ability to engage with people from various backgrounds (business lines, support functions, compliance officers etc. all across the APAC region), ability to write business documentation and communication material.


Result Orientation

  • Rigor
  • Analytical Thinking and Attention to detail
  • Ability to, identify priorities and address difficult situations with autonomy
  • Pro-activity and solution-oriented, proposition-making mindset

Change management
  • Negotiation and Leadership skills
  • Curiosity and critical sense
  • Embracing change and ability to leverage new technologies
  • Good oral and written communication

  • Good interpersonal skills


Required/Must have:

  • 10+ years of professional experience
  • Previous experience in Compliance, Business or Support function in an investment bank or consultancy firm
  • Previous experience in a role with authority to make decision (e.g. manager role or advisory role)
  • Previous experience in taking an active role in dealing with technology matters
  • Previous experience in taking an active role in dealing with regulatory matters
  • Experience working in International, Multi-cultural organization

  • Previous experience in Compliance department


Required/Must have:

  • Fluent in English


  • MSc in Business, Finance or other relevant field.


Société Générale Group is one of the leading financial services groups in Europe. Société Générale is serving 31 million customers in 67 countries on a worldwide basis. Based on a diversified and integrated banking model, the Group combines financial solidity and a strategy of sustainable growth. Our objective: to be the leading relationship-focused bank, a reference in its markets, close to its clients and chosen for the quality and commitment of its teams.

The Asia-Pacific Compliance division ("CPLE/ASI") is the Compliance arm of the Asia BU. It has a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan (110+ staff in total). Our primary focus is to support CIB-type of activities (global capital markets & global structured finance) across the region.

Hong Kong is the regional Compliance hub. The Hong Kong Compliance team is approx. 50+ staff and split into various areas of expertise:
  • Advisory dedicated to Capital Markets Business Lines
  • Advisory dedicated to Global Investment Banking Business Lines, and Control Room
  • Advisory dedicated to Support Functions
  • Capital Markets Surveillance
  • 2nd Level Controls
  • Financial Crime Unit
  • Regulatory Oversight
  • Chief Operating Officer (COO)

The candidate will be a member of the Hong Kong COO team. The COO team is a transversal team that manages several matters for Compliance department in the region: strategic planning, operational risk management, "compliance academy" (professional development of Compliance staff), Regulatory projects, Compliance Digital Projects & Transformation (the automation of Compliance own processes & services), and Technology and Data matters (this role).

The candidate will be reporting to the Compliance Regional COO (Chief Operating Officer) for Asia-Pacific, based in Hong Kong.

The candidate will focus on the topics that most consider as the wave of the future for the banking industry. Indeed, as the digitalization of all the traditional banking activities is accelerating and as regulators scrutinize the emerging risks from new technologies, compliance management of technology and data matters is on the rise.

Job code: 19000242

Business unit: Societe Generale Hong Kong Branch

Starting date: Immediate

Date of publication: 01/07/2019


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