Responsibilities Overview: The role will provide the successful candidate with a unique opportunity to apprehend the various capital markets surveillance matters across various activities and asset classes of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with management, business lines, and various compliance teams. It is suitable for candidates with appetite for exciting challenges from day-to-day production and captivated by using their analytical and investigation skills. Major duties: Monitoring Transactions: Participate in the monitoring of transactions to ensure compliance with Regulation and Exchange rules. Reviewing Alerts: Review trade surveillance alerts (focus on “level 2” escalations of suspicions) and based on investigation results, take relevant further steps with stakeholders for further investigation and/or resolution. Developing and deploying Surveillance Scenarios: Engage in the evolution, testing, and implementation of new surveillance scenarios and minimum standards. Quality Assurance: Participate in the quality assurance and reasonability testing of surveillance controls. Reporting: Contribute to the preparation of management metrics and reports. Compliance Initiatives: Assist in local, regional and global compliance initiatives and investigations including but not limited to regulatory enquiries and investigations. Regulatory Analysis: Contribute to the review and analysis of new or amended industry rules, market rules and regulations, when relevant to the department. Business Impact Assessment: Contribute to the analysis of new business initiatives and assess their potential impact on the surveillance program. Other initiatives and projects: Contribute to other initiatives and projects of the department, including but not limited to annual compliance risk assessment and various initiatives for continuous improvements. Qualifications: Education: A Bachelor’s Degree or its equivalent is required. Experience: Able to maintain operations with minimal supervision in trade surveillance, general compliance, and financial services. Proficiency in trade surveillance processes and software is a very strong plus. Regulatory Knowledge: General knowledge of applicable regulations and market rules related to Capital Markets. Skills: Strong analytical, problem-solving, and organizational skills, rigor; ability to communicate effectively in English; and strong attention to detail. Behavioral Skills: Team Spirit - Synergies: I make cooperation with colleagues in and outside my team a priority. Team Spirit - Open mindset: I listen and share my views and my expertise in an open mode. Innovation - Simplification: I make things and ideas simple. Responsibility - Accountability: I make decisions in my scope of responsibilities. Responsibility - Risk awareness: I am constantly on the lookout for risks. Responsibility - Performance: I strive for high performance. Our Culture: At Société Générale, 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. Société Générale 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. 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. Department Description: Acting in Compliance consists of knowing and respecting the rules issued by the regulators. So that all Group staff can act in a compliant manner, the rules have to be expressed in a clear and simple way, and every member of staff must be made aware of these rules and trained accordingly. The purpose of these rules is to ensure the transparency of the Bank’s relations with its clients and supervisors, as well as its integrity. Compliance is thus the bedrock of trust between the Bank and its stakeholders. The Compliance division is organized around: Teams devoted to each business line in charge of ensuring the compliance of business activities to regulations, to the oversight of compliance risks and managing the deal flow. Central teams in charge of defining compliance norms and standards, performing controls, as well as ensuring key cross-business functions such as digital transformation and training.
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