Regional Head of Global Investment Banking Compliance, APAC
Societe Generale Private Banking
Hong Kong
20天前

Environment

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.

Summary

The Regional Head of Global Investment Banking Compliance APAC has oversight and management of the compliance advisory team supporting GLFI, GTPS and CORI including the support / operational functions directly supporting the above business lines.

This role also has oversight responsibilities of the Control Room activities. Primary responsibilities for the advisory function are to ensure that appropriate compliance arrangements and processes with respect to the business lines are in place, that they are operational and robust, that the compliance team is able to provide effective and timely advice to business and compliance management, to partner effectively with other control and support functions as necessary and to play a full part in the management of regulatory and reputational risks arising from the business lines in Asia.

  • Primary responsibilities for the Control room functions are to ensure appropriate identification, management and resolution of conflicts of interest arising from the investment banking relationship and research business line;
  • and to provide timely advices on internal policies regarding conflicts of interest, Chinese walls and other control room processes.

    Main Responsibilities

  • Establish and maintain a constructive, open relationship and dialogue with business leaders and staff, proactively promoting Compliance in front of the business, support functions and other control functions, whilst always maintaining an independence of viewpoint
  • Advise and alert business leaders on key compliance and regulatory risks affecting their business areas, offering practical, timely solutions adapted to the business context to address and mitigate these risks as well as assisting business lines in the implementation of appropriate risk management solutions
  • Partner efficiently with other areas of Compliance and other support and control functions as required to deliver effective articulation of key risks to management and business leaders;
  • this will include leading regular meetings with business management involving other functions within Compliance as necessary to alert the business leadership to key regulatory and reputational risks, alerts arising from monitoring and other control activity undertaken by Compliance and forthcoming changes to regulation globally which may impact the business.

    As part of this ensure that you have a good understanding of all relevant areas of risk for the BL you cover including financial crime, controls, KYC and sanctions / embargoes topics

  • Ensure that the Compliance strategy and relevant items of the Annual Compliance Plan are delivered effectively and completely, in a timely manner
  • Maintain a current understanding of the business strategy and be conscious of forthcoming changes to this strategy which may affect the regulatory and reputational risks arising from the business
  • Escalate regulatory and reputational issues and risks in a proactive and timely manner to the Regional Head of Compliance APAC and the Global Head of GIB Compliance
  • Provide effective leadership of the advisory team and of individual team members, including workload management, providing guidance and support where necessary, facilitating the development of individuals (including but not limited to setting objectives, conducting appraisals and identifying and agreeing training needs and personal development plans)
  • Participate in and co-ordinate the advisory team's involvement in compliance projects relevant to the business line and other projects as required by Compliance management
  • Manage timely and accurate responses to regulatory enquiries relevant to the business line, liaising with the business and other control and support functions to obtain information as required
  • Maintain an awareness of all contact with regulators in Asia relevant to or specific to the business line, participating personally (where possible) in meetings with regulators on material matters specific to the business line
  • Organise and manage proactive dialogue with all Compliance teams supporting the business lines in Asia on a regular basis, ensuring that advice to the business is consistent wherever practicably possible and aligned to global policies and procedures applicable to GLFI, GTPS & CORI
  • Develop and deliver appropriate regulatory training for the business line using one-to-one or classroom methodologies
  • Animate regular meetings with business management involving other functions within Compliance as necessary to alert the business leadership to key regulatory and reputational risks, alerts arising from monitoring and other control activity undertaken by Compliance and forthcoming changes to regulation in Asia which may impact the business
  • Contribute to the production and maintenance of the risk cartography of regulatory risks connected to the business line produced by SG Risk Assessment methodology, ensuring that the inherent regulatory risks posed by business activity are identified, along with the mitigating factors assessed to determine the residual risk and suitable actions required to further mitigate, or reduce, the regulatory risk
  • Take responsibility for the advice given concerning compliance and regulatory risks arising from the introduction of new products and ensure appropriate contribution from Compliance to relevant new product approval processes
  • Manage the relevant Permanent Supervision (PS) and other controls within the compliance team, including driving a process of continuous improvement (and simplification where possible) of existing compliance procedures and controls as well as introducing new and adapted procedures and controls where appropriate
  • Maintain a strong working knowledge of the regulatory rules and regulations applicable to the business line globally
  • Develop personally (and encourage the development within the advisory team of) an understanding of current market practices relating to the operations of the business line and related compliance policies and practices, by developing relationships with Compliance colleagues in other Firms, engagement with audit, consulting and legal firms with relevant knowledge and experience and with trade associations and other industry bodies
  • Active engagement and supervision over the Control Room sub-team in a cooperative and efficient workflow, providing appropriate support, including with conflict matters, nonstandard / restrictive clauses, maintain active communication and promptly dealing with escalated matters, and providing input into the IBCR’s process manual as and where needed
  • Management of the performance of Permanent Supervision controls within the Control Room team, including improving current procedures and controls within the team
  • For reference, the Control Room sub-team is responsible for

  • Updating SG Control Room’s record keeping systems where necessary (e.g. where in receipt of a material update / document)
  • Maintain the Watch, Restricted and Insider Lists and associated processes
  • Clear the Investment Research against the Watchlist and Restricted list and maintain the input of conflicts of interest data into Investment Research systems, including for regulatory disclosures
  • Maintain Chinese wall and Chinese wall crossing procedures, and ensure that wall crossing requests are actively and promptly handled by the Control Room Team
  • Handle and ensure the recording of breaches arising related to CR processes, and escalate as appropriate
  • Education

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

  • At least 10-15 years in compliance or equivalent experience relating to the business lines activities
  • Managerial experience essential
  • Languages

  • Fluent in English. Fluency in Chinese is an advantage, but not a prerequisite
  • Technical Skills

  • Strong working knowledge of the SFC / HKMA regulations relevant to the business line
  • Knowledge of the regulatory framework relevant to the main centres of operations of the business line in Asia besides Hong Kong (i.
  • e. Korea, Japan, Singapore, China, Australia, India, Taiwan)

  • Good understanding of the business lines activities
  • General Competencies

  • Management Skills
  • Operation Skills
  • Regulatory Skills
  • Communication Skills
  • Flexibility - Adaptability
  • Ability to make Decisions
  • Ability under pressure
  • Analytical Skills
  • Initiative
  • Leadership Qualities
  • Personal Abilities

  • Strong communications and influencing skills
  • Motivator of staff and an effective leader
  • Strong presentation and report-writing skills
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