Director, Central Compliance

Societe Generale
Hong Kong
02 Oct 2017
05 Oct 2017
Contract Type


Societe Generale Group is one of Europe's largest financial services organizations with 148,300 employees of 122 nationalities, operating in 76 countries.

The Global Banking & Investor Solutions pole of Societe Generale group (GBIS) encompasses Corporate & Investment Banking, Private Banking, Asset Management and Investor Services (18,000 employees in 53 countries). As a Corporate and Investment bank, we support our core clients in their long-term and strategic goals across four essential functions: financing, advisory services, risk management and investment solutions

The Asia-Pacific Compliance division ("SEGL/CFT"), has a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan (100+ staff in total). Our primary focus is to support GBIS activities (global capital markets & global structured finance).

Hong Kong is the regional Compliance hub; it is also the regional business hub. The Hong Kong Compliance team is approx. 50+ staff and split into 6 areas of expertise:

  • Advisory to Capital Markets Business Lines

  • Advisory to Global Investment Banking Business Lines

  • Capital Markets Surveillance

  • Assessment, Monitoring & Testing

  • Financial Crime Unit

  • Chief Operating Officer (COO) & Central Compliance (SEGL / CFT / COO)

The successful candidate will be a member of the Hong Kong COO & Central Compliance team.

He/she will be reporting to the Regional Head of Compliance Regulatory Affairs Asia-Pacific, based in Hong Kong.


The successful candidate will assist Regional Head of Compliance Regulatory Affairs Asia-Pacific in a board area of regional responsibilities in licensing, market access, compliance policies implementation and training coordination:

Licensing and Market Access

  • Manage APAC licensing & registration following SG governance obligations
  • Provide compliance advisory for senior management and business lines on all HKMA and SFC licensing matters
  • Review, interpretation and communication of HK regulatory rules and regulations as well as firm policies
  • Handle licensing applications, declarations and notifications in a timely manner
  • Manage APAC market accesses on all Asian Markets where SG has a membership for all worldwide traders

APAC Policies Implementation and Coordination

  • Define the APAC Compliance annual policies implementation plan and contribute to group policies initiatives following SG governance
  • Establish regional policies framework
  • Contribute to the development and maintenance of Compliance policies and procedures

APAC Compliance Training Coordination

  • Define the APAC Compliance annual training plan and contribute to group mandatory training initiatives following SG governance
  • Deliver compliance training to employees

Other Contributions

  • Contribute to the permanent control framework
  • Contribute to global and regional projects and initiatives, as and when required

This challenging role will provide the successful candidate with a unique opportunity to apprehend the various businesses of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with senior management, business lines, and various compliance and Operational teams.


Requirements (Must Have)


  • Minimum 8-10 years of experience in Central Compliance or equivalent experience
  • Experience working on international or multi-cultural organization
  • Managerial experience essential

Technical Skills

  • Conversant with HK laws, and HKMA and SFC regulations
  • Good knowledge of compliance framework and financial products
  • Strong written and oral communication



  • Self-motivated, good leadership skill and a team player
  • Strong communications and influencing skills

Result Orientation

  • Ability to report in due time, identify priorities and address difficult situations with autonomy
  • Pro-activity and solution-oriented, proposition-making mindset


  • Good interpersonal skills


  • Excellent command of spoken and written English and Chinese is required
  • MSc in Business, Finance or other relevant field


  • Previous experience in regulatory Compliance and / or regional coverage is preferred