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For Companies At a Glance
- Tasks: Lead risk assessments and control reviews in a dynamic financial environment.
- Company: Join Societe Generale, a global leader in financial services with a commitment to innovation.
- Benefits: Competitive salary, diverse workplace, and opportunities for professional growth.
- Why this job: Make a real impact on compliance and surveillance in the APAC region.
- Qualifications: Experience in regulatory frameworks and strong teamwork skills required.
- Other info: Embrace a culture of diversity, equity, and inclusion while advancing your career.
The predicted salary is between 72000 - 108000 £ per year.
Overview
Mission of RACR: The Risk Assessment and Control Review (RACR) team is a critical part of the Capital Markets Surveillance function responsible for developing and conducting a robust risk assessment and control and desk review program that facilitates the ongoing assessment of control efficacy. The RACR function collaborates with the surveillance teams and the Change Management Team to develop and conduct an effective surveillance program. The APAC RACR Compliance Officer, based in Hong Kong, will be the main point of contact in the region for developing and conducting the global RACR program.
Responsibilities
- Risk Assessment
- Control Reviews / Desk Reviews within the region in adherence to all relevant regulatory requirements and prevailing market standards within the region.
Main responsibilities:
- Contribute to the RACR program via effective collaboration across Capital Markets Surveillance (CMS), Change Management & Transformation (CMT), Compliance (CPLE), Global Markets (MARK) and other key CMS sponsors and stakeholders.
- Liaise with Market Surveillance Officers worldwide (with a strong focus in Asia), sharing the expertise of analysts in charge of Surveillance.
- Perform control reviews in accordance with the procedures, carrying out at least the reviews of the key controls identified.
- Perform control and desk reviews according to the defined roadmap.
- Take charge of the governance related to the journals (e.g., validation of the organization of meetings and documentation).
- Ensure the updating of all CMS Market Surveillance repositories, maintain the validation of any changes made to the monitoring system.
- Ensure all legacy trade surveillance controls are documented as appropriate.
- Maintain and review the list of Asia Market Surveillance controls.
- Assist the head of the team in ongoing interaction with the CPLE/REG market integrity team.
- Take charge of other tasks/projects as determined by management; act as the RACR Asia point of contact.
- Continuous enhancement of the Trade Surveillance framework through calibration and assessment of weaknesses and gaps in collaboration with trade surveillance and project teams.
- Engage with Surveillance vendors to review and develop the effectiveness of controls used by CMS.
- Support Market Surveillance teams in defining and developing solutions to increase efficiency and coverage.
- Develop Trade Surveillance controls to mitigate newly identified surveillance gaps.
Regulatory Watch
- Identify, analyze, and communicate the impacts on surveillance activities of regulatory changes related to the market or industry.
- Identify new trade surveillance controls available from external providers that could be pushed to production to improve coverage.
Miscellaneous
- Develop and publish timely metrics identifying risks and outputs of the RACR program for management.
- Take charge of other tasks as determined by management.
Profile required
Business skills:
- Experience in a regulatory framework at leading Financial Institutions.
- Financial product knowledge is essential due to interaction with Front Office teams.
- Working knowledge of company policies, regulation, private and public sides of businesses and market practices.
Behavioral skills:
- Ability to work in a fast-paced environment with changing regulations and technology.
- Excellent attention to detail.
- Respect for highly sensitive information.
- Team player with ability to collaborate within immediate and global teams.
- Innovation: solution-based mindset to identify gaps and implement initiatives to improve surveillance offerings.
- Strong documentation and presentation skills.
- English language essential; other languages desirable.
Additional Behavioral Skills
- Client - Risk: strive to satisfy clients while considering risks for the company.
- Team Spirit - Collective mindset: favor the team’s interest over personal results.
- Team Spirit - Open mindset: listen and share views and expertise openly.
- Innovation - Creative thinking: propose new ideas and solutions.
- Responsibility - Risk awareness: constantly assess risks.
- Responsibility - Performance: aim for high performance.
Why join us
Our Culture: At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and considerate, act ethically and with courage, and focus our talent on collective success.
Diversity, Equity & Inclusion (DEI)
DEI: Our mission: Recruit, develop, advance, and retain a diverse workforce united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
- Engaged workforce that reflects the communities in which we operate.
- Inclusive culture and workplace respecting employees’ unique needs.
- Engage our community and marketplace to meet the needs of all clients.
Societe Generale is committed to offering an inclusive recruitment experience. If you require any reasonable accommodations during the recruitment process, please inform HR.
Department Description
What is Compliance? Compliance consists of knowing and respecting regulatory rules to ensure transparency, integrity, and trust between the Bank, clients, and supervisors.
VP/Director - APAC Risk Assessment and Control Review Compliance Officer employer: SGS Société Générale de Surveillance SA
Contact Detail:
SGS Société Générale de Surveillance SA Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP/Director - APAC Risk Assessment and Control Review Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to folks in your industry on LinkedIn or at events. A friendly chat can open doors that a CV just can't.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Show them you’re not just another candidate; you’re genuinely interested in their mission and values.
✨Tip Number 3
Practice your answers to common interview questions, but keep it natural. We want you to sound confident, not rehearsed. Think of it as a conversation rather than an interrogation!
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email can leave a lasting impression and show your enthusiasm for the role. Plus, it keeps you on their radar!
We think you need these skills to ace VP/Director - APAC Risk Assessment and Control Review Compliance Officer
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in risk assessment and compliance. We want to see how your skills align with the responsibilities outlined in the job description.
Showcase Your Collaboration Skills: Since this role involves working closely with various teams, emphasise your teamwork and communication abilities. Share examples of how you've successfully collaborated in past roles to achieve common goals.
Highlight Regulatory Knowledge: Given the importance of understanding regulatory frameworks, be sure to mention any relevant experience you have in this area. We’re looking for candidates who can navigate complex regulations with ease.
Apply Through Our Website: Don’t forget to submit your application through our official website! It’s the best way for us to receive your details and ensure you’re considered for this exciting opportunity.
How to prepare for a job interview at SGS Société Générale de Surveillance SA
✨Know Your Regulatory Framework
Make sure you brush up on the regulatory frameworks relevant to the role. Understanding how these regulations impact risk assessment and control reviews will show that you're not just familiar with the basics, but that you can navigate the complexities of compliance in a fast-paced environment.
✨Showcase Your Collaboration Skills
Since this role involves liaising with various teams, be prepared to discuss your experience working collaboratively. Share specific examples of how you've successfully partnered with different departments to enhance surveillance programs or improve control efficacy.
✨Demonstrate Attention to Detail
Given the nature of the role, attention to detail is crucial. During the interview, highlight instances where your meticulousness has led to successful outcomes, especially in documentation or control reviews. This will reassure them that you can handle sensitive information responsibly.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving skills and innovative thinking. Prepare by thinking through potential gaps in trade surveillance and how you would address them. This will demonstrate your proactive approach and solution-based mindset.
