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法国兴业银行
Communications Surveillance Compliance Officer - Japanese / English (Associate /Vice President)
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Communications Surveillance Compliance Officer - Japanese / English (Associate /Vice President)

发布于 1 天前

中层管理(经理/总监)

Hong Kong, Hong Kong
高级经验
全职员工
仅现场办公
本科
合规
Communication Surveillance
Compliance
English
Japanese
Microsoft Excel
Vba

AI 估算 · 50k–100k

Senior compliance roles in Hong Kong command high salaries; with experience and language skills, monthly compensation ranges fro

职位详情

关于这个职位

This role involves conducting preliminary investigations into flagged communication alerts, using surveillance tools to detect insider dealing, conflicts of interest, and financial crime. You will handle escalations, provide guidance to junior staff, and manage reporting. Ideal for professionals with strong analytical skills and fluency in English and Japanese.

最低要求

Strong oral and written communication skills, in particular fluency in English and Japanese.

Chinese (Traditional and Simplified), Cantonese and/or Mandarin would also be a value-add.
Hold a relevant Bachelors/master’s degree in Finance, Business, Data management or related field.
Previous experience within a front office trading environment or an LOD1 control role would be highly desirable.
Strong analytical and problem-solving skills, with meticulous attention to detail and the ability to interpret and synthesize complex data sets.
Curious and pro-active in raising questions and delivering quality analysis in a timely manner.
Adaptability to operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and cultures.
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).
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.

工作职责

Conduct preliminary investigations into flagged communication alerts, document findings and prepare reports for different stakeholders, namely local compliance, and senior management.

Utilize Communication surveillance tools to analyze and identify potential instances of insider dealing, Conflicts of Interest, Financial Crime and Non-Market Conduct issues that need to be investigated and escalated.
Promptly investigate and clearly communicate issues arising from surveillance activities, involving advisory compliance as required, and follow issues through to full resolution with the business lines, as appropriate.
Collaborate with senior compliance officers to address identified issues and participate in team discussions to analyze and interpret findings.
Maintain accurate and detailed records of surveillance activities and investigations in accordance with internal policies and regulatory requirements.
Promote ideas to ensure SG has a robust Communications surveillance and control framework across APAC, aligned with EMEA and AMER, to detect market abuse / misconduct risks and escalate incidents and possible breaches to relevant stakeholders.
Provide guidance & expertise to both onshore and offshore teams in executing surveillance and investigation activities, maintaining team production efficiency through regular catchups to ensure consistency in surveillance procedures and adherence to SG Code.
Handle escalations from more junior staff members who are performing Communications surveillance alert reviews, conducting investigations and escalating cases to stakeholders, including local compliance and LOD1 controls / MARK.
Support the management and delivery of daily/weekly/monthly/quarterly reports on Communications activity, remediation, compliance metrics, and surveillance findings.
Assist in data management and reconciliation processes related to surveillance.
Take ownership of reporting and monitoring tools, ensuring timely delivery of metrics and insights.
Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region.
Actively participate in regulatory and internal investigations.

优先资格

HKMA Enhanced Competency Framework (ECF) certification is preferred

AI 洞察

优缺点分析

优点

  • Work for a leading global bank with a strong compliance culture and commitment to ethical conduct.
  • Gain deep expertise in financial market surveillance and regulatory requirements.
  • Exposure to advanced surveillance technologies and analytical tools.
  • Collaborate with diverse teams across multiple jurisdictions, enhancing cross-cultural communication skills.
  • High-pressure environment with strict deadlines for regulatory reporting and investigations.
  • Need to stay updated with evolving regulations and market practices.
  • Handling complex investigations and escalations can be demanding and requires multitasking.
  • This role is suitable for compliance professionals with strong analytical skills, language proficiency, and experience in financial markets, who thrive in dynamic and regulated environments.

缺点 / 挑战

暂无明显挑战项

角色解读

  • Progress to senior compliance roles such as Team Lead or Head of Surveillance within the bank.
  • Opportunity to specialize in market abuse detection or move into broader compliance risk management.
  • Develop cross-regional expertise through collaboration with APAC, EMEA, and AMER teams.
  • Conduct preliminary investigations into flagged communication alerts and prepare reports for stakeholders such as local compliance and senior management.
  • Use communication surveillance tools to detect potential insider dealing, conflicts of interest, and financial crime issues, escalating as necessary.
  • Handle escalations from junior staff, provide guidance to onshore/offshore teams, and support the delivery of surveillance reports and metrics.
  • Fluency in English and Japanese is essential
  • additional Chinese/Cantonese is a plus.
  • Strong analytical and problem-solving skills with meticulous attention to detail.
  • Foundational knowledge of trading practices, financial instruments, and market regulations.
  • Proficiency in Microsoft Excel (including formulas and VBA/macros) and other Office tools.

申请策略

  • Research Societe Generale's culture and values to align your application and demonstrate commitment.
  • Be prepared to discuss how you handle complex investigations and communicate across different stakeholder groups.
  • Highlight any prior experience in front office trading or LOD1 control roles.
  • Emphasize language skills, especially Japanese and English, and any additional Chinese dialects.
  • Showcase analytical projects or investigations you have led, with specific outcomes.
  • Detail your proficiency in Excel, VBA, and reporting tools.
  • If not already fluent, consider improving Japanese language skills to meet the core requirement.
  • Familiarize yourself with communication surveillance tools and market abuse regulations.

面试指南

  • Use the STAR method to structure your answers, focusing on situations, tasks, actions, and results.
  • Demonstrate your analytical thinking by explaining your approach to problem-solving and decision-making.
  • Highlight your language skills and cross-cultural communication abilities with concrete examples.
  • Describe your experience with communication surveillance or compliance investigations.
  • How do you prioritize and manage multiple alerts and investigations?
  • Can you explain a complex compliance issue you identified and resolved?
  • How do you handle communications with stakeholders from different regions and cultures?
  • How proficient are you in using Excel for data analysis? Provide examples.

职位点评

70
综合评分

A mid-level compliance surveillance role at a global bank offering competitive pay and strong growth, but with fixed location and high intensity.

从薪资福利、成长空间、工作节奏和岗位方向综合评估，方便横向比较。

更适合这类人
Ideal for professionals who value professional growth and development, and can handle on-site work in Hong Kong with a fast-paced environment.
表现最好
成长发展
相对薄弱
工作生活
薪资福利75
成长发展80
工作生活45
使命价值75

薪资福利

75中等

This position offers competitive compensation typical for senior compliance roles in Hong Kong's banking sector, along with the stability of a major global bank.

薪资信号未披露（AI估算：50K-100K/月）

成长发展

80较高

The role provides strong opportunities for professional growth through exposure to advanced surveillance technologies, cross-regional projects, and continuous learning.

技术前沿主流现代技术
技术栈Communication Surveillance、Compliance、Data Analysis、Market Regulations、Excel VBA
成长机会Eager to learn、professional development、transversal projects
业务类型cost_center

工作生活

45较低

The role requires on-site work in Hong Kong with no mention of flexible working arrangements, and the fast-paced compliance environment may involve long hours.

工作模式仅现场办公
办公地点未明确
加班情况未提及（无法判断）

使命价值

75中等

This role contributes to safeguarding financial markets and protecting client interests, providing a strong sense of purpose.

行业发展稳定成熟行业
社会影响正向社会影响力较高
使命信号safeguarding financial markets、protecting client interests
创新程度积极采用新技术

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