Capital Markets Regulatory Expert
5 days ago
Job Description:
Societe Generale seeks a seasoned professional to lead its Capital Markets Regulatory Surveillance team in the Asia-Pacific region.
About the Role:
The successful candidate will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility, adapting it in line with Group norms and Compliance global strategy.
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 looking for 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 a must. Previous experience in Regulatory Surveillance or at a regulatory authority is a strong plus.
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
What We Offer:
Societe Generale offers a competitive compensation package, excellent benefits, and opportunities for career growth and development.
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