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APAC Trade Surveillance - Director

Compliance
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Permanent contract
Hong Kong, Hong Kong

Reference 24000QG0
Start date 2025/01/02
Publication date 2024/11/06

Responsibilities

  • Geographic coverage is APAC.
  • Assets coverage include equities, fixed income, forex and related derivatives.
  • Reports to the APAC Head of Capital Market Surveillance.
  • Ensure global and regional standards is in place in the entire region.
  • Lead and perform quality assurance on level one review.
  • Lead and review escalations from level one review and escalate to management for suspicious cases.
  • Lead and run meeting with front office staff to improve LOD1 and LOD2 controls.
  • Supervise production of monthly reports to stake holders.
  • Manage transformation projects.
  • Manage auditor / regulator inspections, enquires and remediations. 

Profile required

  • Good knowledge of risks associated with compliance and trade surveillance.
  • Strong verbal & written communication
  • Strong analytics
  • Management experience


Business insight

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/

Department Description:

Hong Kong is the regional Compliance hub; it is also the regional business hub. The Hong Kong Compliance team has a mix of  100+ staffs and is split into various teams based on their areas of expertise.

The candidate will be a member of the Hong Kong Compliance department under the Capital Market Surveillance team (CMS) and he / she will be supporting the team to detect any market abuse activities arising from clients or in-house traders.

Diversity and Inclusion

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.
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