Vice President, Senior Compliance Manager - Australia

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


Opened in 1981, and located in Sydney, Societe Generale provides products and services in the areas of financial advisory and global markets. There are currently 36 members of staff in Sydney, representing 10 different nationalities, from different business lines and corporate functions of the Group.

We are currently recruiting for a Senior Compliance Manager who will report to the Head of Compliance, Australia.

Primary Objectives:

Ensure that an effective Compliance environment exists within the business lines for the Australian operations of the Australian entities and take responsibility for Australian licensing regulation/requirements for Representatives offshore.

Secondary local Legal point of contact in Australia for all offshore matters.

Assist the Head of Compliance, Australia with all requests covering GLFI, CORI and MARK businesses.


Major Accountabilities/Principal responsibilities:

  • Advise management and staff on the interpretation and implementation of regulation of applicable laws and strategy in relation to licensing impacts.
  • Prepare internal policies and procedures for the business in relation to regulatory requirements, best practice and legislation.
  • Present policies and procedures (incl. Code of Conduct) to staff and assist them in maintaining training and competency requirements.
  • Review new or amended legislation with regard to Compliance related issues.
  • Provide advice on compliance and licensing issues.
  • Maintain the compliance monitoring program, which monitors compliance and other policies, manual and procedures against regulatory requirements and advising weaknesses or any deficiencies to departments and Management.
  • Work closely with the Asian and Global Compliance Officers to ensure consistency and leverage across the region.
  • Work proactively and liaise with local regulators - ASIC, ASX and the RBA.
  • Complaint Handling Officer.
  • Liaise with industry associations - AFMA.
  • Report to Compliance and Senior Management on Compliance issues.
  • Participate in all New Product Committees (NPCs).
  • Liaise with the CFT global and regional community to ensure consistence in the methodology, process and implementation for the projects in APAC.
  • Assist On Boarding team with any new client and approve any medium-high and high risk client.
  • Complete AML risk assessment.
  • Maintain and enhance the dialogue with CFT globally and in APAC.
  • Respond to regulatory enquiries and notices.
  • Perform compliance monitoring and testing reviews.


Key Skill Areas & Knowledge required:

  • Knowledge of Corporations Act, Banking and Finance Law, Australian Standards and other relevant legislation
  • Excellent communication (verbal and written) with proven ability to communicate effectively and convincingly on Compliance and regulatory matters to a broad range of stakeholders
  • Action-oriented mindset with a genuine curiosity about new markets, products and regulatory constraints
  • Proven ability to work independently and a capacity to take initiative within one's scope of responsibility
  • Ability to work remotely in an efficient way with partners based in regional and head office locations
  • Intermediate knowledge of MS Word and Excel
  • Solid working knowledge of office procedures
  • Exchange traded products (Equities, Futures and Options and FX) and OTC
  • GLFI and CORI activities including M&A, DCM, Structure Finance


  • Tertiary legal or accounting qualifications or sound Compliance experience