Senior Compliance Analyst - CMS

 Chennai, India       Permanent contract        Legal / Taxation / Compliance

Responsibilities

Within the CMS India team, the candidate will have to perform Trade Surveillance and Communications Surveillance tasks. As such, the candidate will be expected to:

  • Promptly undertake communications surveillance using the firm’s oral and written communications surveillance tools as instructed by the APAC Head of Communications Surveillance, as appropriate.
  • Promptly undertake trade surveillance using SMARTS Broker and/or the firm’s in-house tool as instructed by the APAC Head of Trade Surveillance, as appropriate.
  • Promptly investigate and clearly communicate issues arising from the surveillance activities, involving advisory compliance officers as required in order to follow issues through to full resolution with the business lines as appropriate.
  • Proactively and timely escalate issues to APAC CMS Management as required, ensuring regular and frequent communication on such issues.
  • Actively participate in regulatory and internal investigations as required.
Any other tasks/projects as assigned.


Profile Required

Trade Surveillance experience is a must have : The candidate must have a proven experience of 2/3 years in a Trade Surveillance role using SMARTS Trade Surveillance tool.

Product knowledge (structured products, equities, fixed income, currencies, commodities) : Necessary to understand communications of Front Officers and transactions on complex products.

Tenacity and being results oriented: Both Trade and Communications surveillances are very time-consuming tasks. The candidate must be ready to cope with a significant workload of alerts and messages to review every day.

Ability to estimate risk: Through both Trade and Communications surveillances, the candidate will be required to exercise judgment on regulatory risks. It is essential to our everyday activities in Compliance. He/she needs to be curious and proactive in raising questions and concerns.

Adaptability: The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture.

Oral and written communication: Communication is at the center of what we do every day. The candidate must be fluent in English and ideally also in French and/or as the demography of Front Officers requires to know those languages.

Analytical skills and ability to summarize key messages: The candidate will be entrusted with projects and tasks of his/her own and his/her manager will expect to receive very clear and concise feedback on the work progress.


Why Join Us

“We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status”.

Business Insight

APAC Compliance maintains a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan (100+ staff in total). Our primary focus is to support MARK – global capital markets & GLFI – global structured finance. The allocation of resources in the region is proportionate to company staffing, size of business activities and local regulatory constraints.

Hong Kong is the regional business and Compliance hub. The team is approx. 48+ staff and split into 7 areas of expertise.

- Advisory to MARK Business Lines (ADV)

- COO Office (COO)

- Governance & Regulatory Programs (REG)

- Capital Markets Surveillance (CMS)

- Assessment, Monitoring & Testing (CTL)

- Financial Crime Unit (FCU)

- Control Room & Advisory to GLFI/CORI/GTPS Business Lines (GIB)

In other countries, we have multi disciplinary compliance teams covering all functions.

The candidate will be a member of the Capital Markets Surveillance (CMS) team in India (Bangalore or Chennai) and he/she will be primarily reporting to the CMS Hong Kong team.

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.

Job code: 20000KEY
Business unit: SG Global Solution Centre
Starting date: Immediate
Date of publication: 16/10/2020
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Senior Compliance Analyst - CMS

Permanent contract   |   Chennai   |   Legal / Taxation / Compliance