Head of Capital Market Surveillance

Permanent contract|Tokyo|Compliance

Head of Capital Market Surveillance

Tokyo, Japan Permanent contract Compliance


Manage Japan CMS team and supervise team's day to day operations and handle escalations appropriately.

1. Ensure consistent delivery of Trade Surveillance and Communication Monitoring functions, such as proper and appropriate trade surveillance and communication monitoring, corresponding relevant inquiries from regulator, exchange and other stakeholders.

2. Monitor the regulatory requirements and global initiatives which may have impact to the duties of the team.

3. Support Head of Compliance and other functions in Compliance department, as well as internal stakeholders including local management.

4. Manage staff and support developing their career in Trader Surveillance and Communication Monitoring.

5. In conjunction with regional/global CMS teams, lead the ongoing projects to enhance the quality of Trade Surveillance and Communication Monitoring.

Profile required

Key Skill Areas & knowledge Required:

  1. Having overall 10 years relevant work experience
  2. Experience in managing a team
  3. Trade Surveillance or relevant experiences
  4. Native Japanese, business level English
  5. Knowledge of local regulatory requirements in relevant areas
  6. Analytical skills
  7. Presentation skills
  8. Report-writing skills

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, Lyxor Asset Management Japan 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, sexual or 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: 21000RVG
Entity: Societe Generale Securities Japan Limited
Starting date: 2021/10/14
Publication date: 2021/09/13