Capital Markets Surveillance Professional (Trade Surveillance and Communication Monitoring)
Responsibilities
Major Accountabilities/Principal Responsibilities:
Objective:
To undertake the Compliance Trade Surveillance and Communication monitoring duties as the second line defense in the Societe Generale business platform.
Duties:
Perform Trade Surveillance & Communication monitoring in accordance with the requirements based on the relevant regulations and internal policies etc, including but not limited to the Trade Surveillance and Communication monitoring, regulatory inquiries, ad-hoc based inquiries, various surveillance required by the regulation. For Trade Surveillance, the scope includes the stocks, derivatives and other financial products. For Communication monitoring, the scope includes the various line of business and risk areas based on the key themes set globally and/or locally.
Professional approach: investigate, consult with the team members as necessary. Escalate and report issues or doubtful transactions in a timely manner. Liaise with other compliance officers and stakeholders to cope with the regulatory inquiries or matters requiring various investigations. Exercise the duties with understanding the relevant law, rules and regulations, such as FIEL, Supervisory Guideline, a broad awareness of relevant off shore regulations, exchange rules etc to be applied to both Trade Surveillance and Communication Monitoring space.
Participate and output: accomplish the compliance missions, proactively take part in the accountable projects, departmental and team based efforts, including external seminars, working groups, etc and share the progress or outcome with the team.
Profile required
Key Skill Areas & Required knowledge:
- 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 Graduate
- Open minded personality and teamwork.
Business insight
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.
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.