【ソシエテ・ジェネラル証券】Capital Market Surveillance Analyst (CMS)
仕事内容
Responsibilities
Major Accountabilities/Principal Responsibilities:
Objective:
Capital Markets Surveillance (CMS) team is a part of Compliance Division of Societe Generale Japan. The team is responsible for trade surveillance, communication monitoring, and disclosure of interest. These tasks are increasingly important as sound business operation is a key to strive within financial industry.
We are looking for an experienced person in these areas. The person in this position reports to the head of CMS Japan.
Duties:
The candidate will be an experienced member expected to:
Performing daily Communication surveillance alerts review to identify and escalate market conduct and other policy or procedure breach related issues.
Performing the Quality Assurance on alerts handled by the offshored CMS Chennai team.
Conducting further investigation on alerts escalated by the CMS Chennai team.
Assisting trade surveillance (Nasdaq TS and manual monitoring) on both equities and derivatives products.
Assisting with performing large shareholding daily monitoring and reporting.
Reviewing periodically the alerts or lexicon set up to enhance surveillance effectiveness and efficiency.
Liaising with global team on new surveillance initiatives, new surveillance solution deployment.
Assisting team to liaise with APAC stakeholders (Compliance, Legal, ROCS) for assessing constraints and risks of CMS Project deployments (Regulatory Notification/Approval, Outsourcing Materiality, Offshoring, Personal Data Privacy, Bank Secrecy, Cyber Security).
Active participating in the Global Data Management Governance program.
応募資格(必須経験など)
Profile required
Key Skill Areas & Required knowledge:
Having at least 5 years of financial industry experience
Experience in Trading, Front office control function, 2nd line surveillance /monitoring or Compliance preferred
Good knowledge of Japanese financial industry, equity and derivatives product
Good knowledge of local regulatory requirements in relevant areas
Excellent communication and relationship building skills; ideally native Japanese, business level English
Strong analytic and presentation skills
Proficiency with Microsoft Excel, PowerPoint, and SharePoint