Compliance Officer, Communications Surveillance Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 21 Feb 18 2018-02-21

Compliance Officer, Communications Surveillance Officer


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.

Primary Objectives

  • 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
  • Team player
Past Experience
  • 2 -3 years Compliance Monitoring experience related to capital markets and investment banking activities