Compliance Leader for Asia-Pacific

1 week ago


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

The Regional Head of Capital Markets Regulatory Surveillance is a critical role that requires strong expertise in financial markets, conduct risk, trading data, and data governance. As a senior leader, you will be responsible for developing and implementing compliance surveillance and control strategies across the Asia-Pacific region.

Key Responsibilities
  • Develop and implement effective surveillance strategies and processes to ensure compliance with regulatory requirements
  • Leverage data-driven performance indicators to prioritize work and maintain momentum on key production deliverables
  • Stay up-to-date on regulatory changes and industry trends to ensure the firm's surveillance coverage remains current and effective
  • Identify and oversee improvements needed for existing surveillance leveraging technology
  • Contribute to the overall strategy and execution of the function's priorities as a member of the Global Capital Markets Compliance management team
  • Manage a team of 20+ individuals composed of ~10 HC onshore in Hong Kong, 4 in Japan, and 9 HC offshore in India
Requirements
  • 15 years of relevant experience in financial markets, conduct risk, trading data, and data governance
  • 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


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