APAC Compliance Control Room – 6-month contractor

This is a 6-month contract (agency-temp) role.

Role Purpose

• Support the APAC Control Room framework to ensure effective management of conflicts of interest, information barriers, and compliance risks in line with internal standards and regulatory requirements. Also responsible for safeguarding confidential information flows and mitigating reputational risk.

Key Responsibilities 

• Perform and document conflict checks; communicate outcomes to business teams. 
• Maintain Watch, Restricted and Insider Lists; provide research clearance. 
• Manage wall crossing processes and enforce information barriers. 
• Oversee personal account dealing (PAD) approvals and related controls. 
• Support policy updates, training, and management reporting. 
• Identify, record and escalate breaches and incidents. 
• Contribute to process improvements and regional/global initiatives.

Management of Transactional Conflict of Interest and Chinese Wall

• Ensuring appropriate identification, management and resolution of Conflicts of Interest arising from the investment banking, relationship and research business line, and any Conflicts of Interest arising from private side activities are proactively reported, as appropriate, to the relevant business manager(s) and/or to the relevant IB advisor within the Global Investment Banking Compliance team
• Capturing and recording on the conflicts management system all relevant CIB transactions submitted to the Control Room and to make the appropriate and prompt notification of the results of the conflicts checks to the relevant business units, once the conflict checks are completed
• Ensuring that the team provides timely advice on internal policies regarding Conflicts of Interest, Information Barriers, Personal Account Dealing and other Control Room frameworks within the remit of the APAC Control Room team
• Maintaining the Watch, Restricted and Insider Lists and associated processes
• Providing compliance clearance on Investment Research against the Watch and Restricted Lists and maintain transactional/role disclosures
• Managing Information Barrier and Wall Crossing procedures and ensure that Wall Crossing requests are actively and promptly handled according to the internal Wall Crossing policy
• Ensuring exclusivity and NFR clauses are properly tracked in Control Room system

Management of Personal Account Dealing and Transversal Topics

• Reviewing and updating of Control Room policies/ procedures
• Managing the quarterly SG insider validation process 
• Handling the process for personal account dealings and approve requests as required per the Personal Account Dealing Policy – Asia Pacific.
• Delivering training to the business units on Control Room and PAD related topics 
• Preparing Control Room related metrics for management reporting on a regular basis
• Liaising proactively with the Control Room in other locations, ensure consistent and coordinated approach to the Control Room framework and work on reinforced harmonization of best practices and translation of regulatory development into Control Room processes
• Proactively work with Compliance IT and regional Control Room teams for the continuous improvement of IT tools/ systems relating to Control Room
• Handling and recording of breaches relating to CR processes and escalating as appropriate
• Contributing to the performance of periodic controls within the Control Room team, including improving current procedures and controls.
• To lead/ participate in global and regional projects as requested. 

• Experience in Control Room, research clearance, or investment banking compliance. 
• Strong knowledge of conflicts of interest, Chinese walls, and inside information frameworks. 
• Understanding of investment banking and research activities. 
• Strong judgment, communication, and stakeholder management skills.

Behavioral skills

• Acting with rigor and integrity to implement policies and procedures for managing risks for the firm.
• Working independently and demonstrating sound judgement on daily operational matters  
• Ensuring proactive upward reporting of relevant issues to management. 
• Working as a team together with other teams and colleagues. 
• Being able to work under pressure and make decisions facing difficult situations
• Adapting himself/herself with flexibility to team workload distribution

Technical skills

• Prior working experience in research clearance and Control Room 
• Knowledge of rules / regulations and industry practice relating to Chinese Wall, inside information, conflicts of interest and investment research.
• Knowledge of investment banking and research business and deal flow in relation to private side transactions. 
• Excellent communication skills 
• Influencing skills
• Presentation skills

Our Culture: 

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. Please visit our APAC career website: https://www.societegenerale.asia/en/careers/building-your-career-with/ for more information.

Diversity, Equity & Inclusion (DE&I):

Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents 
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

Check out our DE&I initiatives: https://www.societegenerale.asia/en/careers/diversity-equity-inclusion-dei/

Societe Generale is committed to offering an inclusive recruitment experience to all candidates.  If you require any reasonable accommodations of assistance during the recruitment process, please do not hesitate to let our HR staff know.

Department Description

Report to APAC Control Room Lead under the Regional Head of Control Room and GLBA Advisory Compliance.