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Director, FIC & TRE Advisory Compliance, Asia Pacific
Société Générale AssurancesHong Kong, Hong Kong30 天前
职位描述Advising business from both sales and trading sides on day-to-day compliance related matters relating to the business line in relation to the APAC markets Providing advice on new products and activities, or significant changes to existing products or activities Updating business on regulatory changes and work with business to implement the necessary controls and framework accordingly Liaising with compliance officers in the region on business activities conducted across different countries and sharing best practices Handling regulatory inquiries Handling incidents, complaints and investigations Reviewing marketing materials Assisting in the review and submission of regulatory reports Assisting in handling various compliance projects Assisting in development and maintenance of compliance policies and procedures where necessary Conducting periodic compliance review and assessments for the business line Promoting compliance awareness and culture within the business line and providing compliance training to the business line Advising and informing the APAC Regional Head of Global Markets Compliance on non-compliance risks Carrying out other compliance related duties as instructed your hierarchy from time to time Significant knowledge of the regulatory environment in the financial sector or in a regulatory / supervisory control body Significant knowledge of control techniques Significant knowledge of compliance risks management and analysis Significant knowledge of the banking, financing and insurance environment Extensive knowledge of FIC & Treasury products and markets Extensive knowledge in FIC & Treasury Advisory Good knowledge of HKMA, SFC and other APAC regulations Fluent English is mandatory Strong leadership and communication skills Managerial experience with high-risk awareness Ability to discuss with the business (adopting an independent partner posture, while understanding concerns), of having convictions and keeping them, and ability to explain its positions Independent and self-motivated, ability to make decisions, rigor Integrity, exemplarity Coordination, animation, convincing and motivating skills Managing in a matrix environment, transversality, ability to collaborate, influencing skills Ability to organize, structure, engage and build up the junior A fast learner Pay attention to details Able to work under pressure Innovation - Thinking out of the box / Creativity : I encourage and demonstrate positive out of the box thinking Team Spirit - Open mindset / Respect : I listen and share my views and my expertise in an open mode Responsibility - Risk awareness : I am constantly on the lookout for risks Client - Risk : I strive to satisfy clients / internal partners while taking into account risks for the company Commitment - Care : I listen and demonstrate emotional intelligence to engage my team Responsibility - Performance : I strive to generate high individual and collective performance Collect all information required in the context of customer knowledge (KYC : Know Your Customer) in order to meet regulatory requirements while maintaining customer satisfaction. Work with clients and partners whose practices comply with international anti-money laundering and anti-terrorist financing rules and standards. Strictly comply with the rules of embargoes and international financial sanctions. Protect the interests of each customer by offering tailored products and services as part of personalized advice and follow this advice over time. Carry out the controls and declarations necessary for the transparency and integrity of the markets. Prevent and manage conflicts of interest. Respect the data protection of its customers and employees. Apply all rules to ensure tax transparency Manage the risks of serious environmental and human rights violations related to its activities and ensure compliance with its voluntary CSR commitments. Fight corruption, develop a culture of compliance among its employees and ensure that they can exercise their right to report
Director, FIC & TRE Advisory Compliance, Asia Pacific
Compliance Permanent contract Hong Kong, Hong Kong Reference 24000OLM Start date Immediately Publication date 2024 / 10 / 15
Responsibilities
Reports to : APAC Regional Head of Global Markets Compliance
Job Description :
- To support in advising and overseeing the FIC & Treasury business with respect to their management of regulatory and reputational risk.
Key Roles and Responsibilities :
Based in Hong Kong, the incumbent will be responsible for :
Profile required
Business skills :
Leadership skills :
Other qualities :
Behavioral Skills :
Our vision of Compliance :
The Group’s activities are carried out in strict compliance of the rules. In particular, the Group’s strives to :
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