Personal Account Dealing Support (Part-time)
Societe Generale Hong Kong Branch
Hong Kong
9天前

Environment

Societe Generale is one of the leading financial services groups in Europe. Based on a diversified and integrated banking model, the Group combines financial solidity and a strategy of sustainable growth.

Société Générale is one of the leading financial services groups in Europe. Société Générale is serving 31 million customers in 67 countries on a worldwide basis.

Based on a diversified and integrated banking model, the Group combines financial solidity and a strategy of sustainable growth.

Our objective : to be the leading relationship-focused bank, a reference in its markets, close to its clients and chosen for the quality and commitment of its teams.

The Asia Business Unit division encompasses activities conducted in the Asia-Pacific region, where Société Générale has a presence of 2,500 employees in 12 different countries, with regional headquarters in Hong Kong.

The Asia BU business is focused on Corporate & Investment Banking : Global Markets, Global Financing, and Global Transaction Banking.

The Asia-Pacific Compliance division ("CPLE / ASI") is the Compliance arm of the Asia BU. It has a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan (100+ staff in total).

Our primary focus is to support CIB-type of activities (global capital markets & global structured finance) across the region.

Hong Kong is the regional Compliance hub. The Hong Kong Compliance team is approx. 50+ staff and split into 6 areas of expertise :

  • Advisory to Capital Markets Business Lines
  • Advisory to Global Investment Banking Business Lines, and Control Room
  • Advisory to Support Functions
  • Capital Markets Surveillance
  • 2nd Level Controls and Risk Assessment
  • Financial Crime Unit
  • Regulatory Oversight
  • Chief Operating Officer (COO)
  • The candidate will be a member of the Control Room team. Based in Hong Kong, he / she will primarily be supporting the Personal Account Dealing (PAD) function for around 8 hours per week (2-6pm).

    Main Responsibilities

  • Provide administrative support on Personal Account Dealing (PAD) to ensure employees’ compliance with the relevant internal policy.
  • Handle securities account declarations made by new hires / transfers.
  • Follow up with employees and banks / brokers to ensure outstanding account statements are received. Ensure proper records are retained.
  • Keep track of securities accounts held by employees, as well as preclearance requests submitted by employees.
  • Assist on post trade reconciliation to ensure Compliance and Business Head approvals were obtained prior to execution.
  • Ensure any issues / violations are properly escalated / resolved.

  • Assist to implement process improvement plans to streamline workflows and improve controls.
  • Qualifications

  • Good at data organization and maintenance. Detail oriented.
  • Proficient in Microsoft Office (i.e. MS Excel, Word, Outlook, Access).
  • Excellent communication skills.
  • Fluent in English.
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