Director, Regional Financial Crime Unit, APAC

Societe Generale
Hong Kong
10 Sep 2017
12 Sep 2017
Contract Type


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.

The Director of Regional Financial Crime APAC has responsibility for the region in assisting the Regional Head of Financial Crime Unit (FCU) in maintaining the SG Group FCU Policy standards (i.e. AML, KYC, Sanctions, Anti-Bribery Act, etc); ensuring SG Group remains regulatory compliant in all FCU related matters.

The post holder is expected to help implement policy and procedure, keep senior management informed of financial crime related matters and risks, provide expert advice and propose solutions to the business compliance teams, business and support functions on a day-to-day basis, provide training to relevant internal staff where necessary, be proactive in managing change on internal process and procedures, and participate and provide feedback in industry wide reviews driven by regulators or the various industry groups in order to enhance the overall financial crime risk management framework of SG Hong Kong.


Main Responsibilities

  • Work with Regional Head of FCU to support senior management (including both local and Group level) in discharging their AML obligations, including but not limited to
- Management reporting

- Timely escalation of risks associated with financial crime / reputational matters, and

- On-going review of the adequacy and effectiveness of the financial crime control framework
  • Active engagement with Group Compliance on policy development and implementation to ensure SGHK is compliant with both French and Hong Kong regulatory requirements while taking various business and operations needs into consideration. Proactively address and oversee closure of any policy and implementation gaps
  • Active liaison with KYC Team, Business Lines, Credit/Risk and other relevant departments on the KYC process, i.e. ensure relevant policies and procedures are adhered to, required approval are obtained, risks identified are mitigated or escalated and resolved in a timely manner, and provide Compliance sign-off where required
  • Provide temporary waiver / exceptions on matters related to KYC documentation of new and existing clients. Ensure tracking of such waiver / exceptions to ensure matter is closed within the timeframe granted
  • Advise and alert business heads / COOs on key compliance and regulatory risks affecting their business areas; offer practical and timely solutions adapted to the business needs and to mitigate financial crime risks; assist business lines in the implementation of appropriate risk management solutions
  • Work with the Regional Head of FCU in handling financial crime related matters within the region such as providing guidance to regional Compliance teams to ensure consistency in approach towards internal policies and practices
  • Participate in various local, regional or global projects / initiatives for both Hong Kong and regional offices, e.g. AML / KYC transformation program, design and implementation of new transaction monitoring tool
  • Maintain a strong knowledge of financial crime related rules and regulations; ensure up-to-date knowledge on regulatory trends, market practices and standards
  • Work closely with Financial Crime officers in other offices (US, Europe/Middle East, Asia) in various global projects and initiatives and take the role to represent the Asia region as and when needed
  • Work with Regional Head of FCU to proactively position SGHK for Financial Crime regulatory changes and new developments, e.g. participate in industry forum / surveys
  • New product/business review as and when required
  • Provide training for staffs within the region as and when required


Candidate Profile


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

Past Experience

  • Minimum of 8 years in direct Banking / Securities Compliance / AML experience and preferably in a FI / Corporate banking environment regionally
  • Managerial experience essential


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

Technical Skills

  • Strong working knowledge of global regulatory and financial services legislation as it pertains to AML, KYC, Sanctions, ABC rules relevant to the SGHK businesses
  • Good understanding of the business line activities

General Competencies

  • Management Skills
  • Operational Skills
  • Regulatory Skills
  • Communication Skills
  • Flexibility - Adaptability
  • Ability to make Decisions
  • Ability to Work Under Pressure
  • Analytical Skills
  • Initiative
  • Leadership Qualities
  • Teamwork

Personal Abilities

  • Strong communications and influencing skills
  • Strong presentation and report-writing skills
  • Strong analytical and a critical thinker, able to analyze and assess issues quickly
  • Open-minded, willing to take suggestions
  • Strong team player, willing to work together for solutions
  • Proactive and ready to drive changes