The mandate of the Hong Kong Capital Markets Surveillance (CMS) team covers Trade Surveillance, Communications Surveillance, and Disclosure of Interests.
Within the Communications Surveillance team, the candidate will be expected to:
- Promptly undertake communications surveillance on various thematic risks (Market Misconduct, Chinese Wall, Financial Crime, General Misconduct...) using the firm’s oral and written communications surveillance tools as instructed by the APAC Head of Communications Surveillance, as appropriate
- Promptly investigate and clearly communicate issues arising from the surveillance activities, involving advisory compliance as required, and follow issues through 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
- The role involves autonomy on a day to day basis, but active liaison with the team supervisor as appropriate
- Actively participate in regulatory and internal investigations as required
- Any other tasks / projects as assigned
- Good product knowledge (structured products, equities, fixed income...)
- Necessary to understand communications of Front Officers and transactions on complex products.
- Ability to estimate risk
- The candidate will be required to exercise judgement on regulatory risks. It is essential to our everyday activities in Compliance. He/she needs to be curious and proactive in raising questions, concerns and deliver quality analysis in a timely manner.
- 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, Cantonese and/or Mandarin.
- Excellent verbal and written communication skills in Chinese (Traditional and Simplified). This is a MUST HAVE skill.
- Strong analytical & problem solving 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.
- Fluency in English
- Fluency in Cantonese and/or Mandarin
This is a fixed term 12 month Trainee contract with Societe Generale. You will form part of the team on a full time basis. In order to apply for the Trainee position please ensure you have completed your qualification and will be available to work full time for the duration of the Trainee contract.
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.
ASIA-PACIFIC (ASIA), as one of the Business Units of Societe Generale, operates in 12 locations across the Asia Pacific region, employing over 2,500 employees with the regional headquarter located in Hong Kong. Our activities here are centered on Societe Generale's Global Banking & Investor Solutions pole (GBIS), a major growth engine for the Group and a key pillar of Societe Generale's universal banking model. Our expertise in Asia Pacific ranges from Corporate & Investment Banking (Advisory, Financing and Global Markets) to Asset Management, Global Transaction Banking and specialised financial services like Equipment & Vendor Finance and Vehicle Leasing & Fleet Management. In addition, Societe Generale's Global Solution Centre (SGGSC) in Bangalore and Chennai offers customised business solutions to the Societe Generale Group globally including ASIA.
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 type:Graduate Jobs
- Work rights:
Other, Hong Kong Permanent Resident,...
Hong Kong (Hong...
- Closing Date:28th Jul 2021, 3:00 pm