Associate / Vice President, Compliance Officer

Societe Generale
Hong Kong
20 Aug 2017
23 Aug 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 main mission of the Compliance officer is to ensure that the company is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular industry, as well as professional standards, accepted business practices, and internal group standards.

The Compliance Officer of SGSS Hong Kong Trust Company Ltd (SGSS) will:

  • Ensure the management of compliance risks applied to the activity of the business
  • Be the compliance relay for Compliance at SGSS in Luxembourg and Paris
  • Report to local CEO and Luxembourg Head of Compliance as fonctional reporting line
  • Report to SGSS Head of Fund Services as hierarchical link
  • Organize and manage SGSS Hong Kong Compliance obligations under local and Luxembourg regulations
  • Supervise SGSS Kong Kong activities but also support the Luxembourg Compliance ones

In terms of compliance activities (KYC / AML, professional and staff ethics):

  • Controls of KYC files
  • Compliance checks carried out
  • New processes and controls put in place
  • Regular reporting to the SGSS Compliance and Business Line management
  • Specific missions to Compliance
  • Regulatory developments
  • Procedure review, update and writing
  • The day-to-day management of SGSS Luxembourg compliance issues
  • Compliance with applicable regulatory and internal regulations
  • The actions implemented to contribute to the compliance culture

Direct production of Permanent Monitoring controls:

Organization of the activity of the service, taking into account:
  • Regulations and practices to be observed (or enforced by anyone) to which we are subject as a result of our duties
  • Internal procedures for the business line
  • Efficiency objectives (safety, quality) set by management

Daily management of the service, including:

  • Staff and logistics
  • Ensure a satisfactory and comprehensible definition of the work as well as the framework, conditions and modalities of work
  • Ensure the training of operational staff, with a view to developing their individual compliance culture and understanding of applicable regulations
  • Support and provide compliance opinion related to any business project
  • Ensure punctuality and quality of work
  • Report to the hierarchy on the progress of the service, its potentialities, its possible difficulties and propose any action, adaptation or other, deemed desirable
  • Conducting actions initiated by the Head of Compliance in Paris
  • To evaluate, within the framework of the annual ratings, the employees of the unit


Operational Skills

  • Good understanding of the fund industry and ideally of the transfer agent business
  • Good knowledge of applicable regulations, mainly the Hong Kong regulatory framework but also of the region (Taiwan, Singapore)
  • Strong analytical abilities and autonomy
  • Strong verbal and written communication skills

Behavioral Skills

Result orientation:
  • Optimizes the organization of resources available to carry out its missions
  • Addresses challenges despite ambiguities and uncertainties
  • Empowers employees to achieve their goals

Client Orientation:

  • Provides customer service in accordance with established procedures and guidelines
  • Ensures prompt and efficient response to customer requests
  • Consolidates and communicates internally on identified customer issues

Strategy contribution:
  • Identifies potential risks and opportunities in each new situation
  • Ensures that the teams mobilized on its activity remain focused on this objective
  • Organizes and aligns its activity on the objectives and strategy of the entity

Change management:
  • Implement the changes by defining the concrete steps to implement them
  • Ensures that employees have understood the meaning of changes in their daily work
  • Generates innovative ideas and solutions to solve problems in their field
Human capital development:
  • Sharing experience and expertise with others
  • Actively supports individuals and teams to achieve their goals
  • Identifies and develops the talents and skills of employees
Team work:
  • Involves others appropriately in decisions and projects that concern them
  • Encourages team collaboration and contribution to overall objectives
  • Search for winning solutions for all, whenever possible
Managerial skills:
  • Assumes Responsibility
  • Demonstrates confidence in other team members to give the best of themselves
  • Offers an attractive vision of its projects that makes you want to get involved

  • Excellent in written English and fluency in speaking the same
  • Fluency in written and spoken Chinese