Trade Surveillance Expert, Asia Pacific

Societe Generale; Hong Kong; On-site; HKD 600,000 - 800,000; Full time

Job summary

Societe Generale is seeking a candidate for trade surveillance in Hong Kong. Responsibilities include managing alerts, guiding teams, and implementing surveillance frameworks to ensure regulatory compliance.

The ideal candidate will have strong knowledge of trade surveillance systems, excellent analytical skills, and the ability to lead and motivate teams. A commitment to integrity and collaboration is essential. This position offers an opportunity to work in a dynamic and inclusive environment.

Qualifications

• In-depth knowledge of the regulatory environment within the financial sector.
• Strong understanding of compliance and trade surveillance.
• Proficient in coordinating and motivating teams.

Responsibilities

• Handling alert management and escalation of trade surveillance alerts.
• Providing guidance and training to teams for surveillance procedures.
• Coordinating with stakeholders for effective resolution of findings.
• Contributing to the implementation of trade surveillance scenarios.

Skills

Regulatory knowledge

Trade surveillance risk management

Strong leadership and communication abilities

Analytical and problem-solving abilities

Tools

SMARTS

Job description

Reference 26000CEP

Responsibilities

• Handling alert management (Level 1 control execution, analysis, escalation, reporting if required) of alerts corresponding to his/her assignment.
• Contributing to the implementation of a robust trade surveillance and control framework across APAC, aligned with EMEA and AMER, to detect market abuse / misconduct risks and toEscalate incidents and possible breaches to relevant stakeholders.
• Providing 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.
• Handling escalations from more junior staff members who are performing trade surveillance alert reviews, conducting investigations and escalating cases to stakeholders, including local compliance and LOD1 controls / MARK.
• Coordinating with internal stakeholders to ensure timely escalation and effective resolution of surveillance findings, monitoring status and taking appropriate actions to resolve delays.
• Contributing to the prioritization, development and implementation of new /updated scenarios of trade surveillance together with RACR team (Trade Surveillance Risk And Control Review).
• Performing the quality assurance for trade surveillance alerts, ensuring all processes meet established standards.
• Providing training to all team members, including conducting workshops / Q&A sessions / Daily Pulse meetings.
• Overseeing training and development to junior staff to enhance their TS knowledge and skills while monitoring their performance. Reviewing existing operational procedures, guidelines and parameters of TS systems to ensure that the risk appetites and compliance practices are aligned across APAC / Global CMS.
• Identifying and resolving trade surveillance issues arising from regulatory activities undertaken within the region, actively working with relevant BU/SUs as required to ensure compliance of regulatory expectations.
• Ensuring timely and accurate responses to regulatory requests and enquiries (e.g. s181 Notice, IGAD, CTL), with audit / CTL recommendations duly followed up and implemented.
• Ensuring important information is communicated to stakeholders via regular meetings (e.g. quarterly Regional CMS Steerco).
• Contribute to the review and analysis of new or amended industry rules, market rules and regulations, when relevant to the department.
• Contribute to the analysis of new business initiatives and assess their potential impact on the surveillance program.
• Implementing projects to support local and global objectives (e.g. ASTRIC, FundApps, Target Operating Model reviews).
• Liaison with global / regional stakeholders for assessing constraints and risks of global/APAC project deployments (e.g. formation of Bernstein JV).
• Contributing to projects and lead where necessary (e.g. backlog management, operational incident management including data and remediation).
• Contributing to TS governance (e.g. participate in TS management meeting, contribute to RACR proposal, contribute to escalations from COM SUR, when necessary, review of TS procedures).
• Organize the tasks and production related to substantial shareholding disclosure.

Business Skills

• In-depth knowledge of the regulatory environment and associated risks within the financial sector or regulatory/supervisory body.
• Deep understanding of compliance and trade surveillance risk management and analysis.
• Strong product knowledge on the entity/branch's products, markets, and operational systems.

Leadership Skills

• Possess strong leadership and communication abilities, with a strong emphasis on fostering collaboration.
• Proven experience of overseeing operational processes with a high level of risk awareness.
• Ability to engage with business units as an independent partner, effectively articulating positions while understanding their concerns.
• Demonstrated autonomy and decisiveness in complex situations.
• Commitment to integrity and exemplary conduct.
• Proficient in coordinating and motivating teams, with strong persuasive skills.
• Experience working in a matrix environment, with the ability to collaborate across functions and influence stakeholders.
• Strong organizational skills, with the capability to help structure, engage, and inspire people.
• Ability to work independently and collaboratively with cross‑functional team.

Technical Skills

• Strong analytical and problem‑solving abilities, with a well‑organized approach to tasks and projects.
• Strong understanding and familiarity with the trade surveillance system, such as SMARTS from NASDAQ.

EEO Statement

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.