VP – Trade Surveillance - Controls and Desk Reviews Compliance Officer – Japan Coverage
Société Générale · Japan
Responsibilities
Control Reviews / Desk Reviews
- Contribute to the delivery of the global RACR program through effective collaboration with Capital Markets Surveillance (CMS), Change Management & Transformation (CMT), Compliance (CPLE), Global Markets (MARK), and other relevant stakeholders.
- Liaise with Market Surveillance Officers and stakeholders globally, with a particular focus on supporting and coordinating activities relating to the Japan business.
- Perform control reviews and desk reviews in accordance with established RACR methodologies, procedures, and governance standards.
- Execute the review roadmap for the Japan perimeter and monitor remediation activities where appropriate.
- Coordinate governance activities related to RACR reviews, including meeting organization, documentation, action tracking, and reporting.
- Ensure surveillance repositories, review documentation, and supporting records remain accurate and up to date.
- Maintain comprehensive documentation of both existing and legacy trade surveillance controls.
- Maintain and periodically review the inventory of surveillance controls applicable to the Japan perimeter.
- Support ongoing engagement with Compliance Market Integrity teams, business stakeholders, internal audit, and other control functions as required.
- Act as the primary RACR representative for Japan and support management-driven projects and strategic initiatives.
Continuous Enhancement of the Trade Surveillance Framework
- Assess control effectiveness and identify potential weaknesses, gaps, or enhancement opportunities arising from reviews and assessments.
- Partners with surveillance specialists, business stakeholders, and project teams to enhance existing controls and strengthen surveillance coverage.
- Support calibration reviews and challenge the effectiveness of existing surveillance scenarios and thresholds.
- Engage with surveillance vendors to evaluate and enhance the effectiveness of surveillance solutions.
- Assist in the design and implementation of solutions aimed at improving surveillance efficiency, effectiveness, and risk coverage.
- Identify and support the development of new surveillance controls to address emerging risks, new business activities, or evolving regulatory expectations.
Regulatory Watch
- Monitor and assess Japanese and international regulatory developments relevant to trade surveillance and market conduct.
- Proactively identify, analyse, and communicate the impact of regulatory changes on surveillance activities and control frameworks.
- Identify new surveillance capabilities and controls available from external vendors (e.g., Nasdaq SMARTS, TradingHub and other providers) that could enhance surveillance coverage and effectiveness.
Management Information & Reporting
- Develop and produce meaningful management information, key metrics, and reporting relating to risks, control effectiveness, and RACR outcomes.
Support governance forums, senior management reporting, regulatory examinations, internal audit reviews, and other stakeholder requests as required.
Profile required
Profile required
- Minimum of 10 years’ experience in the financial industry with good knowledge of the Japanese financial industry being a pre-requisite for this role which will cover Trade Surveillance activities for Japan.
- Strong working knowledge of local regulatory requirements for the Japan market, with deep product experience in Equities, Equity Derivatives, Prime Brokerage, SDMA/DMA/HFT.
- Proven track record in a Trading, Front office control function, 2nd line trade surveillance or Compliance function is preferred.
Excellent communication skills, ideally native / fluent in Japanese, with business level English.
Business Skills:
- In-depth knowledge of the regulatory environment and associated risks within the financial sector or regulatory/supervisory body.
- Deep understanding of compliance and trade surveillance risk management and analysis.
- Strong product knowledge on the entity/branch's products, markets, and operational systems.
Leadership Skills:
- Possess strong leadership and communication abilities, with a strong emphasis on fostering collaboration.
- Proven experience of overseeing operational processes with a high level of risk awareness.
- Ability to engage with business units as an independent partner, effectively articulating positions while understanding their concerns.
- Demonstrated autonomy and decisiveness in complex situations.
- Commitment to integrity and exemplary conduct.
- Proficient in coordinating and motivating teams, with strong persuasive skills.
- Experience working in a matrix environment, with the ability to collaborate across functions and influence stakeholders.
- Strong organizational skills, with the capability to help structure, engage, and inspire people.
- Ability to work independently and collaboratively with cross-functional team.
Technical Skills:
- Strong analytical and problem-solving abilities, with a well-organized approach to tasks and projects.
- Strong understanding and familiar with the trade surveillance system, such as SMARTS from NASDAQ.
- Perform quantitative analysis and statistical back-testing of surveillance scenarios and alert outputs to evaluate alert quality, optimize thresholds, measure control performance, and identify opportunities to improve risk coverage while reducing false positives.
- Leverage data analytics techniques to assess surveillance effectiveness.
Business insight
Our Culture
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. Please visit our APAC career website: https://www.societegenerale.asia/en/careers/building-your-career-with/ for more information.
Diversity, Equity & Inclusion (DE&I):
Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our vision:
Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
Engage our community and marketplace, and position the organization to meet the needs of all its clients
Check out our DE&I initiatives: https://www.societegenerale.asia/en/careers/diversity-equity-inclusion-dei/
Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations of assistance during the recruitment process, please do not hesitate to let our HR staff know.
Department Description
As part of the Technology department of SG Corporate and Investment Banking, you will join a development team building pricing solutions for the rates and FX trading desk. The team is located on the trading floor and operates as a feature team to develop and support fixed income trading pricing systems. It is composed of developers with expertise on the entire fixed income pricing chain, working together as one, to ensure self-sufficiency and proactive incident resolution at all stages of the software development process.
Diversity and Inclusion
We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.
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