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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.

The CPLE/ASI/SUR/CMS team focuses on the surveillance of Global Banking Services (GBS) activities, encompassing Trade and Communications surveillance and processing Significant Shareholding Disclosures. The Trade Surveillance mission involves designing and reviewing controls to detect abusive or manipulative trading practices, while Communication Surveillance aims to implement systems to identify and track potential breaches of internal or external rules.

Operating globally within the Global Compliance Department, the Trade Surveillance function ensures adherence to regional obligations and alignment with the SG Code.

Responsibilities:

• 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
• Assist in real-time monitoring of trading transactions to identify potential market abuse or suspicious activities (insider dealing, ramping, wash trades, spoofing, etc.), ensuring timely intervention, by analyzing trading patterns
• Undertaking focused electronic communication monitoring potential market abuse behavior and identifying at-risk other non-market conducts (Benchmark Fixings, Market Abuse, Market Misconduct, Chinese Wall, Financial Crime, General Misconduct, etc.)
• 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
• Take ownership of reporting and monitoring tools, ensuring timely delivery of trade surveillance metrics and insights
• 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 surveillance
• Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region

A questionnaire will be provided to you in order to check your VIE (Société Générale and Business France) eligibility. For an efficient analysis of your application, please make sure to truthfully answer all the questions.

Please note that it is mandatory to provide us a formal proof of your M2 diploma validation before the assignment start date. No VIE mission will start without this document. *Grade sheets are not accepted as justification of diploma.