JP/EN Communications Surveillance Lead - APAC

Societe Generale; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Societe Generale in Hong Kong seeks a Communications Surveillance Compliance Officer to join the Capital Market Surveillance team. The role involves investigating alerts, analyzing potential market misconduct, and escalating findings to local compliance and management.

The ideal candidate has English and Japanese fluency, a finance/business degree, and experience in front-office or LOD1 control roles. Strong analytics and cross-functional collaboration are essential.

Qualifications

• Strong oral and written communication skills, fluency in English and Japanese.
• Chinese (Traditional and Simplified), Cantonese and/or Mandarin would be a value-add.
• Hold a relevant Bachelor’s/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.
• Ability to multitask and collaborate with cross-functional teams, adaptable and well-organized.

Responsibilities

• 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 escalated 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.

Skills

English

Japanese

Chinese languages (Cantonese/Mandarin)

Education

Finance/Business degree

Tools

Microsoft Word

PowerPoint

Excel

Job description

Societe Generale in Hong Kong seeks a Communications Surveillance Compliance Officer to join the Capital Market Surveillance team. The role involves investigating alerts, analyzing potential market misconduct, and escalating findings to local compliance and management.

The ideal candidate has English and Japanese fluency, a finance/business degree, and experience in front-office or LOD1 control roles. Strong analytics and cross-functional collaboration are essential.