Societe Generale Corporate and Investment Banking - SGCIBCompliance Officer
Jul. 2022 - Jul. 2024Hong Kong SARProject management:
- Led the deployment of a new regulatory watch framework for APAC: definition of goals, RACI and policies, new set of governance and data solutions to make sure all new regulatory changes are captured, and relevant stakeholders are aware and take relevant actions for us to stay compliant. Significant improvement of our framework and operational efficiency in managing and tracking our regulatory actions plans. Implementation of clearer allocation guidelines (per risk) and escalation procedures to solve ownership conflicts. - Reviewed and improved our control framework within compliance, following an audit procedure: identification of priorities and batch of controls, interviews with control owners and performers, review of good practices and inefficiencies, deployment of new policies/controls with a standardized approach for APAC, workshops with control owners/performers. Tax transparency coordinator:
- Managed the tax transparency (FATCA/CRS) framework within APAC. Being the bridge between the experts in Paris and our stakeholders in the region, I owned a quarterly committee to pilot and adapt the framework (certifications, documentation or KYC issues, reporting, regulatory changes, incidents,..). Change management:
- Created an automation team within compliance to help other teams to identify potential inefficiencies and opportunities of automation (using PowerQuery, PowerBI, VBA or SQL). I also automated many processes within our team which led to a decrease in our workload and improved efficiency.
- Deployed a new culture and conduct framework by developing PowerBI solutions to capture, clean, monitor and share related data to our relevant stakeholders. Other COO duties:
- Organization of main compliance committees; monitoring of our control framework and operational risks (offshoring, cyber, trainings,..), RCSA, management and tracking of incidents, auditors requests. I also conducted training on cyber risks for our staff.