Communications Surveillance Compliance Officer - Japanese / English (Associate /Vice President)

• Conduct preliminary investigations into flagged communication alerts, document findings and prepare reports for different stakeholders, namely local compliance, and senior management.
• Utilize Communication surveillance tools to analyze and identify potential instances of insider dealing, Conflicts of Interest, Financial Crime and Non-Market Conduct issues that need to be investigated and escalated.
• Promptly investigate and clearly communicate issues arising from surveillance activities, involving advisory compliance as required, and follow issues through to full resolution with the business lines, as appropriate.
• Collaborate with senior compliance officers to address identified issues and participate in team discussions to analyze and interpret findings.
• Maintain accurate and detailed records of surveillance activities and investigations in accordance with internal policies and regulatory requirements.
• Promote ideas to ensure SG has a robust Communications surveillance and control framework across APAC, aligned with EMEA and AMER, to detect market abuse / misconduct risks and escalate incidents and possible breaches to relevant stakeholders.
• Provide guidance & expertise to both onshore and offshore teams in executing surveillance and investigation activities, maintaining team production efficiency through regular catchups to ensure consistency in surveillance procedures and adherence to SG Code.
• Handle escalations from more junior staff members who are performing Communications surveillance alert reviews, conducting investigations and escalating cases to stakeholders, including local compliance and LOD1 controls / MARK.
• Support the management and delivery of daily/weekly/monthly/quarterly reports on Communications activity, remediation, compliance metrics, and surveillance findings. 
• Assist in data management and reconciliation processes related to surveillance.
• Take ownership of reporting and monitoring tools, ensuring timely delivery of metrics and insights.
• Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region.
• Actively participate in regulatory and internal investigations.

HKMA Enhanced Competency Framework (ECF) certification is preferred

• Strong oral and written communication skills, in particular fluency in English and Japanese. 
• Chinese (Traditional and Simplified), Cantonese and/or Mandarin would also be a value-add.
• Hold a relevant Bachelors/master’s degree in Finance, Business, Data management or related field.
• Previous experience within a front office trading environment or an LOD1 control role would be highly desirable.
• Strong analytical and problem-solving skills, with meticulous attention to detail and the ability to interpret and synthesize complex data sets.
• Curious and pro-active in raising questions and delivering quality analysis in a timely manner.
• Adaptability to operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and cultures.
• Foundational knowledge of trading practices and financial instruments, including equities, derivatives, and market regulations.
• Proficient in Microsoft Word (use of Design, Layout, References & Review functionality), PowerPoint (use of Design & Format functionality), and Excel (use of formulas & VBA/macros).
• Excellent verbal and written communication skills, with the ability to articulate findings clearly and effectively to various stakeholders.
• Ability to multitask and collaborate with cross-functional teams, highly adaptable, and well-organized.
• Eager to learn and a proactive approach to professional development; Willing to work on a variety of assignments.

Department Description

Hong Kong serves as the regional Compliance hub, with 100+ professionals organized into specialized teams. 
Within CPLE, CMS addresses Capital Markets Surveillance of GBIS Wholesale Banking activities.  The function’s core activities Include Trade and Communications surveillance activities, Risk Acceptance and Control Reviews (RACR), along with the processing of Significant Shareholding Disclosures for the group.

The Trade Surveillance (TS) mission is to design, implement and review the output of alerts from surveillance controls that are intended to detect trading practices that appear to be abusive/manipulative or potentially contrary to regulations or firm policies.

The Risk Assessment and Control Review (RACR) team is a critical part of the Capital Markets Surveillance function which is responsible for developing and conducting a robust risk assessment and control and desk review program that facilitates the ongoing assessment of control efficacy.

The Communication Surveillance (CS) mission is to implement risk-based systems and controls to review and analyze Communication mediums across SG to identify, escalate and track, through successful resolution, potential anomalies which could be in breach of internal or external rules.

Leveraging advanced Communication surveillance technologies and analytical techniques, the department plays a vital role in safeguarding financial markets, protecting client interests, and ensuring staff operate in compliance with regulations and Culture and Conduct standards.

As a Communications Surveillance Compliance Officer, you will be part of the Capital Market Surveillance team (CMS), supporting the monitoring of Communications across Asia Pacific to identify potential market abuse by clients or in-house traders while ensuring compliance with regulatory requirements

Our Culture: 

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. Please visit our APAC career website: https://www.societegenerale.asia/en/careers/building-your-career-with/ for more information.

Diversity, Equity & Inclusion (DE&I):

Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents 
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

Check out our DE&I initiatives: https://www.societegenerale.asia/en/careers/diversity-equity-inclusion-dei/

Societe Generale is committed to offering an inclusive recruitment experience to all candidates.  If you require any reasonable accommodations of assistance during the recruitment process, please do not hesitate to let our HR staff know.