TRAINEE: Trade Surveillance

Responsibilities

• Assist in real-time monitoring of trading transactions to identify potential market abuse or suspicious activities, ensuring timely intervention.
• Conduct preliminary investigations into flagged trades and communications, documenting findings and preparing reports for different stakeholders, namely global trade surveillance, local compliance, and senior management.
• Utilize trade surveillance tools to analyze trading patterns, identifying potential instances of insider dealing, ramping, wash trading, and spoofing.
• Collaborate with senior compliance officers to address identified issues and participate in team discussions to analyze and interpret surveillance findings.
• Maintain accurate and detailed records of surveillance activities and investigations in accordance with internal policies and regulatory requirements.
• Provide appropriate proposals for the design and enhancement of CMS monitoring processes and surveillance controls.
• Support the management and delivery of daily/weekly/monthly/quarterly reports on trading activity, remediation, compliance metrics, and surveillance findings.
• Assist in data management and reconciliation processes related to trade surveillance.
• Take ownership of reporting and monitoring tools, ensuring timely delivery of trade surveillance metrics and insights.
• Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region.

Profile required

• Hold a relevant Bachelor's or Master's degree in Finance, Business, Data management or related field.
• Strong analytical and problem-solving skills, with meticulous attention to detail and the ability to interpret and synthesize complex data sets.
• Foundational knowledge of trading practices and financial instruments, including equities, derivatives, and market regulations.
• Proficient in Microsoft Word (use of Design, Layout, References & Review functionality), PowerPoint (use of Design & Format functionality), and Excel (use of formulas & VBA/macros for data manipulation and presentation).
• Excellent verbal and written communication skills, with the ability to articulate findings clearly and effectively to various stakeholders.
• Ability to multitask and collaborate with cross-functional teams, highly adaptable, and well-organized.
• Eager to learn and a proactive approach to professional development; Willing to work on a variety of assignments.
• Fluent English is mandatory.

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/

Department Description

Hong Kong serves as the regional Compliance hub, with 100+ professionals organized into specialized teams. As a Trade Surveillance Trainee, you will be part of the Capital Market Surveillance team (CMS), supporting the monitoring of trading transactions to identify potential market abuse by clients or in-house traders while ensuring compliance with regulatory requirements. Leveraging advanced surveillance technologies and analytical techniques, the department plays a vital role in safeguarding financial markets and protecting client interests. This position offers an excellent entry point into a leading financial services group, providing insights into compliance practices and organizational functions. Within CPLE, CMS addresses Capital Markets Surveillance of GBIS Wholesale Banking activities. The function's core activities include Trade and Communications surveillance activities along with the processing of Significant Shareholding Disclosures for the group. The Trade Surveillance (TS) mission is to design, implement and review the output of surveillance controls that are intended to detect trading practices that appear to be abusive/manipulative or potentially contrary to regulations or firm policies. The Communication Surveillance (CS) mission is to implement risk-based systems and controls to review and analyze Communication mediums across SG to identify, escalate and track, through successful resolution, potential anomalies which could be in breach of internal or external rules.