Junior Compliance Manager - Control Room - Legal / Taxation / Compliance - Hong Kong, Hong Kong
Key objectives and primary goals
Within the Investment Banking Control Room team, the Junior Compliance Officer provides support:
- To ensure appropriate identification, management and resolution of Conflicts of Interest arising from the investment banking relationships
- To ensure that the team provides timely advice on internal policies regarding Conflicts of Interest, Information Barriers and other Control Room frameworks as described below within the remit of the APAC Control Room team.
Management of transactional conflict of interest
- To capture and record on the conflicts management system all relevant CIB transactions submitted to the Control Room. To make the appropriate and prompt notification of the results of the conflicts checks to the relevant business units, once the conflict checks are completed.
- To ensure that any conflicts of interest arising from private side activities are dealt with timely in accordance with the Conflicts of Interest Policy and are reported, as appropriate, to relevant compliance advisor and/or business manager.
- To maintain the Watch, Restricted and Insider Lists and associated processes.
- To maintain Information Barrier and Wall Crossing procedures and ensure that Wall Crossing requests are actively and promptly managed according to the internal Wall Crossing policy.
- To handle and ensure the recording of breaches arising related to CR processes and escalate as appropriate.
- To maintain trees as per the Treeing Procedures.
- To ensure exclusivity and NFR clauses are properly tracked in Control Room system.
Management of personal conflict of interest
- To handle the process for personal account dealings and approve requests for Hong Kong as required per the Personal Account Dealing Policy - Asia Pacific.
- To help local country compliance officers clear PAD requests for non-Public Side individuals by checking the restricted & watch lists
- To handle the process for Private Investments and maintain of the register for SG Hong Kong staff as required per the Private Investments and Outside Business Interests/Directorships Policy - Asia Pacific.
- To handle and ensure the recording of breaches arising related to PAD/PI processes and escalate as appropriate.
Management of traversal topics
- To prepare CR related metrics for management reporting on a regular basis.
- To process physical access requests to restricted areas.
- To manage quarterly SG insider validation process.
- To contribute to the performance of Permanent Supervision controls within the control room team, including improving current procedures and controls.
Profile required Behavioral Competencies
- Acting with rigor and integrity to implement policies and procedures for managing risks for the firm.
- Demonstrating sound judgement on daily operational matters.
- Ensuring proactive upward reporting of relevant issues to management.
- Working as a team together with other teams and colleagues.
- Being able to work under pressure
- Adapting himself/herself with flexibility to team workload distribution
- Knowledge of rules / regulations and industry practice relating to Chinese Wall, inside information, conflicts of interest and investment research.
- Communication Skills
- Influencing skills
- Presentation skills
- Team Spirit - Synergies: I make cooperation with colleagues in and outside my team a priority
- Team Spirit - Open mindset: I listen and share my views and my expertise in an open mode
- Innovation - Thinking out of the box/Creativity: I propose new ideas and solutions
- Innovation - Change management: I support change
- Responsibility - Courage: I express my convictions and make decisions with courage and respect.
- Commitment - Exemplarity: I embody the Group's values
Societe Generale is one of the leading European financial services groups. Founded in 1864, we have been playing a vital role in the economy for over 150 years. With more than 148,000 employees based in 76 countries worldwide, we accompany 32 million clients throughout the world on a daily basis. Based on a diversified universal banking model, the Group combines financial strength with a strategy of sustainable growth.
ASIA-PACIFIC (ASIA), as one of the Business Units of Societe Generale, operates in 12 locations across the Asia Pacific region, employing over 2,500 employees with the regional headquarter located in Hong Kong. Our activities here are centered on Societe Generale's Global Banking & Investor Solutions pole (GBIS), a major growth engine for the Group and a key pillar of Societe Generale's universal banking model. Our expertise in Asia Pacific ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Global Transaction Banking and specialised financial services like Equipment & Vendor Finance and Vehicle Leasing & Fleet Management. In addition, Societe Generale's Global Solution Centre (SGGSC) in Bangalore and Chennai offers customised business solutions to the Societe Generale Group globally including ASIA.
We are an equal opportunities employer
and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents
, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.
Entity: Societe Generale Hong Kong Branch
Starting date: 2021/02/15
Publication date: 2020/12/17