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SG CIB is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia. SG CIB provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.
Within the Capital Markets Surveillance (CMS) team in Hong Kong, the successful candidate will have to actively and promptly undertake Communications Surveillance of key risk areas of Societe Generale, reporting any issues on a timely basis
The role involves autonomy on a day to day basis, but active liaison with the team supervisor as appropriate
Major Accountabilities / Principal Responsibilities
Undertake communication monitoring of benchmark associated desks using the firm's oral and written communication monitoring tools as instructed by the supervisor of the team, as appropriate
Undertake focused electronic communication monitoring on other key focus areas (Market Misconduct, Chinese Wall, Financial Crime, General Misconduct) as required
Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified
Liaison with Compliance Advisory (GCM), Control Room (GIB) and Financial Crime Unit (FCU) on monitoring related issues
Proactive and timely escalation of issues to management
Maintaining awareness of key regulatory updates and analysing their impact upon the electronic communication monitoring programme
Participation in departmental and team meetings as required
Any other tasks / projects as assigned
Key Skill Areas & Knowledge Required
Good product knowledge across asset classes. Experience on FICC products would be appreciated
Good knowledge of compliance rules, regulations and procedures
Excellent verbal and written communication skills in English
Excellent verbal and written communication skills in Chinese (Traditional and Simplified). This is a MUST HAVE skill
Strong analytical and problem solving skills
2 -3 years Compliance Monitoring experience related to capital markets and investment banking activities