V.I.E. Operational and Compliance Risk Officer
SGS Société Générale de Surveillance SA, New York, NY, United States
Global Banking & Advisory (GLBA)
GLBA is organized in 2 main teams:
Products – provides issuer clients (corporates, financial institutions, public sector) with capital raising solutions and structured financing. GLBA develops tailor‑made products and offers strategic advice (capital structure advisory, financing schemes and capital markets) based on worldwide expertise and in‑depth sectorial knowledge.
Coverage – manages and develops global commercial relations for all Coverage Strategic and Target clients; promotes all Group products and services to those clients and key Group clients (corporates, financial institutions, investment funds and family holding companies) and defines commercial strategies in collaboration with GBIS’s other business lines, regional divisions (AMER, ASIA, CEMA, EURO) and core divisions (French Retail Banking and IBFS).
Main responsibilities
Responsible for supporting GLBA/DIR and GLBA Business lines in Asia Pacific in ensuring the proper set‑up of control and mitigation of financial/outsourcing/operational/regulatory/compliance risks and delivering the risk and regulatory roadmap.
1st Line of Defense:
Assist the RRCN1 (First Level Control Relays function under PCT framework) by updating process mapping for the whole GLBA scope in Asiapac on the run, assisting operational managers in the design of first level permanent controls, implementing and maintaining the first level permanent control framework.
Investigate, analyze and draft reports on First Level Control (L1C) results and communicate to BU/SU management including Head of Departments, ICC and L2C teams.
Participate in the implementation of corrective measures in the event of anomalies, ensuring that the action plans of LOD1 and LOD2 are in place and periodically reporting on progress.
Contribute to the training and awareness of employees and managers on how to carry out controls.
Support and monitor transformations and changes within the BU/SU of the permanent control frameworks.
Help the RRCN1 in the preparation or attendance of related governance both globally and regionally, such as GLBA Operational Risk Committee, Financial Crime & Conduct committee, Sanction & Embargoes committee and Anti‑Bribery & Corruption committee.
Ensure correct application of procedures defined by the bank to make sure business is conducted under a proper framework, in particular versus local requirements (implementation and revision if necessary).
Ensure follow‑up and monitoring of any regulatory issue/development.
Adapt procedures as needed internally, ensure correct implementation and design training as required.
Follow‑up, contribute and lead for GLBA the Culture and Conduct stream for AsiaPac Region.
On demand, prepare notes, memos or reports to answer any request from regulators (HKMA, MAS, …) through CPLE, DFIN and Legal.
Change Management
Performs ad‑hoc studies and participates in initiatives on behalf of GLBA regional management within the COO scope.
Business Management
Ensure correct application of procedures (implementation and revision if necessary).
Coordinate the BCP strategy in coordination with BL managers and BCM.
Act as main point of contact for Audit and ensure swift implementation of recommendations.
Contribute to strategic presentations, briefing notes, business reviews, budget and other materials required by GLBA management.
Oversight and coordination between GLBA Front Office, GBSU/CLD, CPLE and relevant BUSUs on Sanctions & Embargoes, Anti‑money Laundering and Client Due Diligence during onboarding and life‑cycle of a client.
Data Management
Maintain routine reviews for inconsistencies or anomalies to ensure accuracy and adequacy of data integrity.
Generate detailed reports for management and other departments by extracting, analyzing and interpreting data.
Profile required
Studies & experience
Graduate with a Master degree from Business/Engineering School or University with a specialization in Finance/Economics/Business Management.
Previous experience in process/business analysis or project management is appreciated.
Language skills
Fluent in English.
Technical, operational & soft skills
Good communication and presentation skills.
Strong analytical skills, independent and resourceful.
Problem‑solving and initiative taking.
Ability to manage multiple projects and deadlines.
Proficient/Good command of MS Office.
The VIE assignment in a nutshell
This VIE in Hong Kong is to begin October 1st, 2026, but you need to plan 3 months between your application date and the beginning of your VIE assignment. It will last 12 months. The VIE is a specific contract, under Business France’s eligibility criteria, opened to candidates under 28 and from the member states of the European Economic Space. For further information (including your financial indemnities), please see Mon VIE‑VIA Business France.
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GLBA is organized in 2 main teams:
Products – provides issuer clients (corporates, financial institutions, public sector) with capital raising solutions and structured financing. GLBA develops tailor‑made products and offers strategic advice (capital structure advisory, financing schemes and capital markets) based on worldwide expertise and in‑depth sectorial knowledge.
Coverage – manages and develops global commercial relations for all Coverage Strategic and Target clients; promotes all Group products and services to those clients and key Group clients (corporates, financial institutions, investment funds and family holding companies) and defines commercial strategies in collaboration with GBIS’s other business lines, regional divisions (AMER, ASIA, CEMA, EURO) and core divisions (French Retail Banking and IBFS).
Main responsibilities
Responsible for supporting GLBA/DIR and GLBA Business lines in Asia Pacific in ensuring the proper set‑up of control and mitigation of financial/outsourcing/operational/regulatory/compliance risks and delivering the risk and regulatory roadmap.
1st Line of Defense:
Assist the RRCN1 (First Level Control Relays function under PCT framework) by updating process mapping for the whole GLBA scope in Asiapac on the run, assisting operational managers in the design of first level permanent controls, implementing and maintaining the first level permanent control framework.
Investigate, analyze and draft reports on First Level Control (L1C) results and communicate to BU/SU management including Head of Departments, ICC and L2C teams.
Participate in the implementation of corrective measures in the event of anomalies, ensuring that the action plans of LOD1 and LOD2 are in place and periodically reporting on progress.
Contribute to the training and awareness of employees and managers on how to carry out controls.
Support and monitor transformations and changes within the BU/SU of the permanent control frameworks.
Help the RRCN1 in the preparation or attendance of related governance both globally and regionally, such as GLBA Operational Risk Committee, Financial Crime & Conduct committee, Sanction & Embargoes committee and Anti‑Bribery & Corruption committee.
Ensure correct application of procedures defined by the bank to make sure business is conducted under a proper framework, in particular versus local requirements (implementation and revision if necessary).
Ensure follow‑up and monitoring of any regulatory issue/development.
Adapt procedures as needed internally, ensure correct implementation and design training as required.
Follow‑up, contribute and lead for GLBA the Culture and Conduct stream for AsiaPac Region.
On demand, prepare notes, memos or reports to answer any request from regulators (HKMA, MAS, …) through CPLE, DFIN and Legal.
Change Management
Performs ad‑hoc studies and participates in initiatives on behalf of GLBA regional management within the COO scope.
Business Management
Ensure correct application of procedures (implementation and revision if necessary).
Coordinate the BCP strategy in coordination with BL managers and BCM.
Act as main point of contact for Audit and ensure swift implementation of recommendations.
Contribute to strategic presentations, briefing notes, business reviews, budget and other materials required by GLBA management.
Oversight and coordination between GLBA Front Office, GBSU/CLD, CPLE and relevant BUSUs on Sanctions & Embargoes, Anti‑money Laundering and Client Due Diligence during onboarding and life‑cycle of a client.
Data Management
Maintain routine reviews for inconsistencies or anomalies to ensure accuracy and adequacy of data integrity.
Generate detailed reports for management and other departments by extracting, analyzing and interpreting data.
Profile required
Studies & experience
Graduate with a Master degree from Business/Engineering School or University with a specialization in Finance/Economics/Business Management.
Previous experience in process/business analysis or project management is appreciated.
Language skills
Fluent in English.
Technical, operational & soft skills
Good communication and presentation skills.
Strong analytical skills, independent and resourceful.
Problem‑solving and initiative taking.
Ability to manage multiple projects and deadlines.
Proficient/Good command of MS Office.
The VIE assignment in a nutshell
This VIE in Hong Kong is to begin October 1st, 2026, but you need to plan 3 months between your application date and the beginning of your VIE assignment. It will last 12 months. The VIE is a specific contract, under Business France’s eligibility criteria, opened to candidates under 28 and from the member states of the European Economic Space. For further information (including your financial indemnities), please see Mon VIE‑VIA Business France.
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