VP, Central Compliance – Licensing and Registration

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • 20 Jan 19

VP, Central Compliance – Licensing and Registration


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 Hong Kong Licensing and Registration team in Central Compliance is responsible for handling and advising on licensing and registration matters, monitoring compliance with local regulations and managing relationships with relevant Hong Kong regulators.

Central Compliance team is looking for an experienced licensing professional to lead the Hong Kong Licensing and Registration team in managing its responsibilities regarding licensing and registration


Main responsibilities

  • Lead and manage the Hong Kong Licensing and Registration team.
  • Provide hands on support in the performance of corporate & staff regulatory licensing, registration and related tasks, including daily interactions with stakeholders.
  • Handle regulatory inquiries and requests for licensing and registration related matters, at both corporate and individual levels, in a timely and disciplined manner.
  • Manage and maintain relationship with regulators, including HKMA, SFC and relevant exchanges.
  • Provide sound regulatory advice and support to the business and other relevant stakeholders on licensing and registration related rules and regulations.
  • Keep abreast of regulatory updates and developments and maintain Compliance policies and procedures, and relevant regulatory documents.
  • Respond to inquiries and recommendations from internal audit reviews and compliance testing reviews to improve work efficiency.
  • Act as regional coordinator for licensing and regulation related initiatives.
  • Support licensing IT related initiatives and developments and provide management solutions to enhance operational efficiency .

Degree of autonomy /Level of authority

  • The post holder is expected to work as the Licensing and Registration team lead and to ensure proactive upwards reporting of relevant issues as required to Head of Regulatory Oversight and/or the Regional Head of Regulatory Affairs as required.
Internal & external contacts

  • Daily internal interactions and communications with management, business lines, support functions and regular externally interactions with regulators.


Candidate Profile


Graduate level with legal / finance or other professional qualification is required.

  • Minimum 8+ years' work experience in Compliance at an equivalent organisation.
  • Demonstrated experience in licensing and registration and/or compliance advisory.
  • Experience in team leadership


Fluent in English & Chinese

Technical skills

  • Strong working knowledge of the Hong Kong licensing and registration rules and regulations and an awareness of the changing regulatory environment.
  • Good knowledge of compliance frameworks and financial products.
  • Strong written and oral communication skills.

General Competencies Competency Description Required
  • Management Skills Y
  • Operational Skills Y
  • Regulatory Skills Y
  • Communication Skills Y
  • Flexibility - Adaptability Y
  • Ability to make Decisions Y
  • Ability to Work Under Pressure Y
  • Analytical Skills Y
  • Initiative Y
  • Leadership Qualities Y
  • Teamwork Y

Personal abilities
  • Pro-active, self-motivated, good leadership skills and a team player.
  • Strong communications and influencing skills.
  • Ability to identify priorities, address difficult situations and complete on time, with a high degree of autonomy.
  • Strong work ethic with the ability to manage a large workload.
  • Strong sense of responsibility, commitment and impeccable integrity.
  • Good interpersonal skills