Regional Head of Capital Markets Surveillance, Asia-Pacific
5 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.
#J-18808-Ljbffr-
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob Description: The Regional Head of Capital Markets Regulatory Surveillance will be responsible for leading the team in providing surveillance and compliance services to the Asia-Pacific region. This role involves designing and implementing surveillance strategies, leveraging data-driven performance indicators, and maintaining momentum on key production...
-
Capital Markets Regulatory Surveillance Expert
21 hours ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob DescriptionThe Regional Head of Capital Markets Regulatory Surveillance is a senior leadership role within the Compliance division of SGS Société Générale de Surveillance SA. This position oversees the Asia-Pacific region and is responsible for defining and implementing compliance surveillance and control setups across the perimeter under their...
-
Capital Markets Surveillance Leader
4 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob OverviewSociete Generale de Surveillance SA is seeking a seasoned professional to lead our Capital Markets Regulatory Surveillance team in the Asia-Pacific region. The successful candidate will have a deep understanding of financial markets, conduct risk, and trading data.The role involves managing a team of 20+ individuals, overseeing trade and...
-
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeAbout the Role: We are seeking a highly experienced and skilled Compliance Leader for our Asia-Pacific Capital Markets team. The successful candidate will be responsible for leading the team in providing surveillance and compliance services to the region.This role involves working closely with global colleagues and stakeholders to develop the surveillance...
-
Regional Head of Risk and Compliance
4 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob DescriptionWe are seeking a highly experienced professional to lead our Regional Head of Capital Markets Regulatory Surveillance (SUR/CMS) team in the Asia-Pacific region. The successful candidate will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility and adapting it in...
-
Regional Surveillance Director
2 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeAbout the RoleThe Regional Head of Capital Markets Regulatory Surveillance will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility and adapting it in line with Group norms and Compliance global strategy, and in respect of local regulations as well as global...
-
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeAbout the RoleThis Senior Compliance Risk Manager position plays a critical role in overseeing the Asia-Pacific region's compliance efforts, ensuring that all activities align with regulatory requirements and internal policies.Main Accountabilities:Develop and implement compliance programs, policies, and procedures to mitigate risks and prevent...
-
Financial Markets Regulatory Expert
3 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeAbout the RoleThis is an exciting opportunity to join Societe Generale de Surveillance SA as the Regional Head of Capital Markets Regulatory Surveillance (SUR/CMS) in the Asia-Pacific region. The successful candidate will be responsible for developing and implementing a compliance surveillance strategy and processes, leveraging data-driven performance...
-
Head of Asia Pacific Marketing
3 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Coface Full timeAbout the JobWe are seeking a highly skilled and experienced Director to lead our marketing strategy in the Asia Pacific region. As Regional Head of Marketing and Communications, you will be responsible for developing and implementing a comprehensive marketing strategy to position Coface as a global leader in trade credit risk management.You will lead a team...
-
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob Summary: We are looking for a Senior Regional Surveillance Director for APAC to lead our team in providing surveillance and compliance services to the region. The successful candidate will have a strong background in financial markets, conduct risk, trading data, and data governance.This role involves collaborating with senior management, business lines,...
-
Senior Compliance Risk Manager
13 hours ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob OverviewThis Regional Head of Capital Markets Regulatory Surveillance position offers a unique opportunity to lead a high-performing team and drive compliance excellence in the Asia-Pacific region.Main Responsibilities:Provide strategic direction and oversight to the Asia-Pacific compliance team, ensuring alignment with global strategy and local...
-
Senior Manager Capital Markets Compliance
7 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeCompany OverviewSociete Generale de Surveillance SA is a leading global investment bank committed to strengthening bonds with colleagues, communities, and the world in which we operate. We prioritize relationships and are dedicated to enhancing our competitive position through innovative solutions for our clients.Job DescriptionThe Regional Head of Capital...
-
Hong Kong, Central and Western District, Hong Kong SAR China Accuray Asia Ltd Full timeRegulatory Affairs Specialist, Asia Pacific RegionAvoid delays in getting your medical devices to market by joining our team as a Regulatory Affairs Specialist, Asia Pacific Region. In this role, you will work closely with cross-functional teams to ensure that our products meet regulatory requirements in Asia Pacific.As a key member of our Regulatory Affairs...
-
APAC Regional Trading Technology Lead
2 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Capital Markets Recruitment Full timeCandidate Profile: We are looking for a seasoned professional to lead our trading technology teams across Hong Kong and Singapore. As APAC Regional Trading Technology Lead, you will be responsible for driving technology strategy and innovation across the Asia Pacific region.You will collaborate closely with the Chief Technology Officer (CTO) to develop and...
-
Capital Markets Compliance Expert
6 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeWhat You'll DoThis role is responsible for designing and implementing surveillance strategies and processes, leveraging data-driven performance indicators to maintain momentum on key production deliverables. You will keep current on regulatory changes/priorities and industry trends/best practices to ensure the firm's surveillance coverage remains current and...
-
Hong Kong, Central and Western District, Hong Kong SAR China Coface Full timeJob SummaryWe are seeking a seasoned marketing and communications professional to lead our efforts in the Asia Pacific region. As Regional Head of Marketing and Communications, you will be responsible for developing and executing strategic initiatives that enhance our reputation, expand market presence, and foster collaboration with stakeholders.
-
Asia Pacific Compliance Director
17 hours ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob Summary:We are seeking a seasoned Compliance Director to lead our Compliance Risk Management team in Asia Pacific. The successful candidate will be responsible for developing and implementing compliance risk management strategies and policies across the region.Key Responsibilities:Develop and implement compliance risk management strategies and...
-
Head of Compliance Risk Management
2 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeJob OverviewThe Regional Head of Capital Markets Surveillance role provides a unique opportunity to grasp the intricacies of a top-tier investment bank and contribute to evolving regulatory developments.This position involves constant interaction with senior management, business lines, and compliance teams. It is suitable for candidates with an appetite for...
-
Asia Pacific Regulatory Affairs Expert
4 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Accuray Asia Ltd Full timeJob DescriptionWe are looking for an experienced Regulatory Affairs Specialist, Asia Pacific Region to join our team at Accuray Asia Ltd.The primary responsibility of this role is to support obtaining medical device pre-market regulatory approvals to ensure market access for Accuray products and services in Asia Pacific.The key areas of focus for this...
-
Capital Markets Regulatory Expert
2 days ago
Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full timeRole SummaryThis is a high-profile role within the Compliance division, requiring a seasoned professional with extensive experience in financial markets, conduct risk, trading data, and data governance.Main ResponsibilitiesContribute to the development of a comprehensive surveillance strategy and its implementationCollaborate with the Global Capital Markets...
