Capital Market Surveillance Analyst (CMS)

Major Accountabilities/Principal Responsibilities:

Objective:

Capital Markets Surveillance (CMS) team is a part of Compliance Division of Societe Generale Japan. The team is responsible for trade surveillance, communication monitoring, and disclosure of interest. These tasks are increasingly important as sound business operation is a key to strive within financial industry.

We are looking for an experienced person in these areas. The person in this position reports to the head of CMS Japan.

Duties:

• The candidate will be an experienced member expected to: 
• Performing daily Communication surveillance alerts review to identify and escalate market conduct and other policy or procedure breach related issues. 
• Performing the Quality Assurance on alerts handled by the offshored CMS Chennai team. 
• Conducting further investigation on alerts escalated by the CMS Chennai team.
• Assisting trade surveillance (Nasdaq TS and manual monitoring) on both equities and derivatives products.
• Assisting with performing large shareholding daily monitoring and reporting. 
• Reviewing periodically the alerts or lexicon set up to enhance surveillance effectiveness and efficiency.  
• Liaising with global team on new surveillance initiatives, new surveillance solution deployment.  
• Assisting team to liaise with APAC stakeholders (Compliance, Legal, ROCS) for assessing constraints and risks of CMS Project deployments (Regulatory Notification/Approval, Outsourcing Materiality, Offshoring, Personal Data Privacy, Bank Secrecy, Cyber Security).  
• Active participating in the Global Data Management Governance program. 

Key Skill Areas & Required knowledge: 

• Having at least 5 years of financial industry experience
• Experience in Trading, Front office control function, 2nd line surveillance /monitoring or Compliance preferred
• Good knowledge of Japanese financial industry, equity and derivatives product 
• Good knowledge of local regulatory requirements in relevant areas 
• Excellent communication and relationship building skills; ideally native Japanese, business level English
• Strong analytic and presentation skills
• Proficiency with Microsoft Excel, PowerPoint, and SharePoint

Societe Generale is one of the leading European financial services groups. Founded in 1864, we have been playing a vital role in the economy for over 150 years. With more than 148,000 employees based in 76 countries worldwide, we accompany 32 million clients throughout the world on a daily basis. Based on a diversified universal banking model, the Group combines financial strength with a strategy of sustainable growth.

Our expertise in the Asia Pacific region ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Securities Services, Trade Finance and Cash Management Services. Leveraging on our formidable global footprint, we serve corporates, financial institutions, and the public sector. With our regional headquarters in Hong Kong, we operate in 11 countries across Asia Pacific, employing over 6,600 employees. You can find us in Beijing, Seoul, Tokyo, Singapore, Mumbai, Sydney and other locations in the region.