Capital Market Surveillance, Compliance

Permanent contract|Tokyo|Compliance

Capital Market Surveillance, Compliance

Tokyo, Japan Permanent contract Compliance


The mandate of the Capital Markets Surveillance (CMS) team covers Trade Surveillance, Communications Surveillance and Disclosure of Interests. The candidate will be an experienced member expected to:

  • Performing daily Communication surveillance alerts review to identify and escalate market conduct 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, Operational Risk Management) 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. 

Profile required

  • Having at least 5 years of financial industry experience
  • Experience in Trading, Front office control function, 2nd line surveillance 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

Business insight

Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Societe Generale Haussmann Japan Limited and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management.

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.

Reference: 2300012H
Entity: Societe Generale Securities Japan Limited
Starting date: 2023/02/12
Publication date: 2023/01/13