Regional Head of Capital Markets Surveillance, Asia-Pacific
4 days ago
Responsibilities
Overview:
The role will provide the successful candidate with a unique opportunity to apprehend the various businesses of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with senior management, business lines, and various compliance teams. It is suitable for candidates with an appetite for exciting challenges from day-to-day production and transformation components of a role at senior level.
Reporting line:
The Regional Head of Capital Markets Regulatory Surveillance (SUR/CMS) reports hierarchically to the Regional Head of Business Coverage Compliance, and functionally to the Global Head of Regulatory Surveillance within Compliance (SUR).
Perimeter of responsibilities:
The mandate of Regulatory Surveillance (SUR/CMS) covers Trade Surveillance (TS), Communications Surveillance (CS), and Disclosure of Interest, as well as Risk Assessment & Controls Review (RACR). The Regional Head of Capital Markets Regulatory Surveillance (SUR/CMS) is responsible for defining and implementing a compliance surveillance and control setup on the perimeter under his responsibility and adapting it in line with Group norms and Compliance global strategy, and in respect of local regulations as well as global standards. Effective leadership within the region while remaining mindful of the need for global consistency is key for the position. Other responsibilities include team management, standards (policies and procedures) management, and contribution (as contributor or lead/sponsor for the region) to the transformation projects (systems, processes, etc.).
Duties:
- Design and implement surveillance strategy and processes
- Leverage data-driven performance indicators, prioritizing work, and maintaining momentum on key production deliverables, including through effective planning and oversight
- Keep current on regulatory changes/priorities, and industry trends/best practices to ensure the firm's surveillance coverage remains current and effective
- Identify and oversee the improvements needed for existing surveillance leveraging technology
- Member of the Global Capital Markets Compliance management team contributing to the overall strategy and execution of the function's priorities with Global contributors
- Manage the team (develop skill set of teams, recruit as required, and provide leadership)
- Drive change (projects, result of audit remediation or regulatory changes)
- Manage implementation of new communication channels in cooperation with the business
- Analyze significant risk events and escalations to ensure that all risks are identified and reported and make risk mitigation recommendations.
- Coordinate and oversee responses to regulatory inquiries with the relevant team.
- Work closely with global colleagues and stakeholders (Front Office, Compliance, Operations, and Technology) to develop the surveillance program.
- Manage the risk assessment process for both trade and communications surveillance.
Team:
The role oversees a team of 20+ individuals composed of ~10HC onshore in Hong Kong (with direct supervision), 4 in Japan (with functional supervision), and 9 HC offshore (India, with functional supervision).
Profile required
Experience:
- 15 years of relevant experience
- Seasoned professional with a thorough understanding of financial markets, conduct risk, trading data, and data governance, supported by previous experience
- Experience in managing teams in a multicultural context is a must
- Track record leading change and development through innovation is a must
- Previous experience in Regulatory Surveillance or at a regulatory authority is a strong plus
Business & Leadership skills:
- Knowledge of the regulatory environment and risks in the financial sector.
- Good knowledge of compliance risk management, analysis especially in matters related to market abuse.
- Knowledge of capital market products (Equity and Fixed Income & Commodities), trading practices, and markets.
- Sharp analytical and problem-solving skills, with excellent attention to detail
- Effective coordination, communication, presentation, motivating and public speaking skills
- Strong stakeholder management: Ability to discuss with the business (adopting an independent partner posture, while understanding concerns), of having convictions and keeping them, and ability to explain his positions.
- Autonomy, ability to make decisions, rigor, integrity, exemplarity.
- Ability to operate in a matrix environment.
Why join us
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:
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:
Department Description:
What is Compliance?
Acting in Compliance consists of knowing and respecting the rules issued by the regulators. So that all Group staff can act in a compliant manner, the rules have to be expressed in a clear and simple way, and every member of staff must be made aware of these rules and trained accordingly. The purpose of these rules is to ensure the transparency of the Bank's relations with its clients and supervisors, as well as its integrity.
Compliance is thus the bedrock of trust between the Bank and its stakeholders. The Compliance division is organized around:
Teams devoted to each business line in charge of ensuring the compliance of business activities to regulations, to the oversight of compliance risks and managing the deal flow.
Central teams in charge of defining compliance norms and standards, performing controls, as well as ensuring key cross-business functions such as digital transformation and training.
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