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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.
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
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
Strong working knowledge of the SFC / HKMA regulations
Flexibility - Adaptibility
Ability to make decisions
Ability to work under pressure
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