Senior Compliance Officer

4 days ago

Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

Job Overview:

Societe Generale's Compliance division is responsible for ensuring the Bank's activities comply with regulations and laws. The Regional Head of Capital Markets Regulatory Surveillance will play a critical role in this effort, leading a team of professionals to design and implement compliance surveillance and control setups.

About the Role:

This is an exceptional opportunity for a seasoned professional to join our team and contribute to the development of our compliance framework. The successful candidate will have a deep understanding of financial markets, conduct risk, trading data, and data governance.

Key Responsibilities:

  • Design and implement surveillance strategy and processes
  • Leverage data-driven performance indicators, prioritizing work, and maintaining momentum on key production deliverables
  • Keep current on regulatory changes/priorities, and industry trends/best practices
  • 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
  • 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

About You:

We are seeking a highly experienced professional with a strong understanding of financial markets, conduct risk, trading data, and data governance. A track record leading change and development through innovation is essential. Previous experience in Regulatory Surveillance or at a regulatory authority is highly valued.

Requirements:

  • 15 years of relevant experience
  • Seasoned professional with a thorough understanding of financial markets, conduct risk, trading data, and data governance
  • 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

How to Apply:

If you are a motivated and experienced professional looking for a challenging role, please submit your application.

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