TRAINEE: Trade Surveillance
SGS Société Générale de Surveillance SA, Chicago, IL, United States
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 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
Relevant bachelor’s or master’s degree holder in Finance, Business, Data management or related field is preferred.
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, PowerPoint, and Excel (including formulas and VBA/macros).
Excellent verbal and written communication skills, with the ability to articulate findings clearly to various stakeholders.
Ability to multitask and collaborate with cross‑functional teams, highly adaptable and well‑organized.
Eager to learn and proactive in professional development; willing to work on a variety of assignments.
Candidates with some working experience from other sectors are also welcomed.
English language skills are essential.
Behavioral Skills
Team Spirit - Synergies: I make cooperation with colleagues in and outside my team a priority.
Team Spirit - Collective mindset: I favour the team’s interest over my own results.
Innovation - Simplification: I make things and ideas simple.
Team Spirit - Open mindset: I listen and share my views and expertise in an open mode.
Responsibility - Risk awareness: I am constantly on the lookout for risks.
Commitment - Care: I demonstrate consideration for others.
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 organisational functions.
Equal Opportunity Statement
Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations of assistance during the recruitment process, please let our HR staff know.
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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 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
Relevant bachelor’s or master’s degree holder in Finance, Business, Data management or related field is preferred.
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, PowerPoint, and Excel (including formulas and VBA/macros).
Excellent verbal and written communication skills, with the ability to articulate findings clearly to various stakeholders.
Ability to multitask and collaborate with cross‑functional teams, highly adaptable and well‑organized.
Eager to learn and proactive in professional development; willing to work on a variety of assignments.
Candidates with some working experience from other sectors are also welcomed.
English language skills are essential.
Behavioral Skills
Team Spirit - Synergies: I make cooperation with colleagues in and outside my team a priority.
Team Spirit - Collective mindset: I favour the team’s interest over my own results.
Innovation - Simplification: I make things and ideas simple.
Team Spirit - Open mindset: I listen and share my views and expertise in an open mode.
Responsibility - Risk awareness: I am constantly on the lookout for risks.
Commitment - Care: I demonstrate consideration for others.
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 organisational functions.
Equal Opportunity Statement
Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations of assistance during the recruitment process, please let our HR staff know.
#J-18808-Ljbffr