VP Trade Surveillance - Legal / Taxation / Compliance Hong Kong VP Trade Surveillance - Legal / Taxation /  …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 Feb 20
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 Feb 20
VP Trade Surveillance - Legal / Taxation / Compliance Hong Kong

Main responsibilities / Missions:

The mandate of the Capital Markets Surveillance (CMS) team covers Trade Surveillance, Communications Surveillance and Disclosure of Interests. The candidate will be a senior member of the Trade Surveillance team. As such, the candidate will be expected to:
  • Perform the Quality Assurance on alerts handled by the offshored CMS Chennai team.
  • Conduct further investigation on alerts escalated by the CMS Chennai team.
  • Perform trade surveillance on Fixed Income products.
  • Perform the Annual Risk Assessment exercise on Market Abuse.
  • Review periodically the alerts set up for cash and derivatives markets across the APAC region.
  • Liaise with R&D and Data Scientists (London) on CMS Innovation initiatives (Robots, AI etc).
  • Liaise with CMS Change Management Team (HK, Paris and London) on the deployment of CMS Global Surveillance solutions.
  • Liaise with APAC stakeholders (Compliance, Legal, ROCS) for assessing constraints and risks of CMS Project deployments (Regulatory Notification/Approval, Outsourcing Materiality, Offshoring, Personal Data Privacy, Bank Secrecy, Cyber Security).
  • Liaison with CMS COO Office (London) on CMS reporting (MI, KPI, KRI...).
  • Active participation in the Global Data Management Governance program.

Profile Required

Job Skills

Product knowledge (equities, fixed income, currencies, commodities derivatives):

  • Necessary to understand the trading activity of SG Front Officers and SG Clients. A good knowledge of Fixed Income and FX would be particularly appreciated.
Tenacity and being results oriented:
  • Alerts generated in Trade Surveillance tools must be reviewed within a very tight deadline. The candidate must be very vigilant on this with the offshored CMS Chennai team.

Ability to estimate risk:
  • As being owner of the Annual Risk Assessment, the candidate must be familiar with assessing Inherent Risks, Surveillance Coverage Effectiveness and Residual Risks.
  • The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture.
Oral and written communication:
  • The candidate must be fluent in English as communications inside and outside the Compliance Department are essentially in English.
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.
  • English: Fluent - Working in an international environment.
  • French (Optional): French is not a must but a nice to have since many traders and sales are French.
  • Cantonese (Optional): Cantonese is not a must but a nice to have since the job is based in Hong Kong.

Business Insight

GBIS is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia. GBIS provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

APAC Compliance maintains a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore, Taiwan and Thailand (130+ staff in total). Our primary focus is to support GBIS activities (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 department is approx. 130+ staff and split into 6 areas of expertise.
  • Advisory (ADV)
  • Governance & Regulatory Liaison (REG)
  • Capital Markets Surveillance (CMS)
  • Compliance Testing LOD2, Reviews, Risk Assessment (CTL)
  • Financial Crime Unit (FCU)
  • Control Room (GIB)
In other countries, we have multi disciplinary compliance teams covering all functions.

The candidate will be a member of the Hong Kong Compliance team in charge of Capital Markets Surveillance (CMS) and he/she will be primarily reporting to the APAC Head of Trade Surveillance. The candidate will have to work closely with other team leaders of the Compliance Department.

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: 200001OX

Business unit: Societe Generale Hong Kong Branch

Starting date: 01/03/2020

Date of publication: 20/01/2020


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