Job ref no.: CT3115703-01#0467

Central Compliance, Regulatory Affairs

Societe Generale Hong Kong Branch


Main Responsibilities
  • 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
Past Experience
  • 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
Technical Skills
  • Strong working knowledge of the SFC / HKMA regulations
General Competencies
  • Operational Skills
  • Communication Skills
  • Regulatory Skills
  • Flexibility - Adaptibility
  • Ability to make decisions
  • Ability to work under pressure
  • Analytical Skills
  • Initiative
  • Teamwork
Personal Abilities
  • 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


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More job information
Job ref no. CT3115703-01#0467
  • N/A
Job Function
Employment Term
  • Permanent
  • Contract
  • Full-time
  • 6 years - 11 years
Career Level
  • Middle management level
  • Degree