Sep 27, 2021
1. Perform Central Compliance related tasks and missions, including but not limited to Permanent Supervision (self-Assessment), 2nd line of control, risk assessment, staff registration and regulatory filing.
2. Correspond to the requirement, inquiry and inspection from regulators and SROs
3. Maintain Policies and relevant rules including local and global.
4. Provide training session to internal staff
5. Support other non-front team/depts. from Compliance's perspectives.
6. Projects support, which are related to the Compliance perimeters
Major Accountability/Principal Responsibilities:
1. Perform and coordinate periodic compliance self-assessment in cooperation with Advisory Compliance (for business related 2nd line controls) and other compliance stakeholders (for non-business-related 2nd line controls)
2. Conduct appropriate control of Rules and Procedures
3. Support for FSA and other regulatory/association's Inspection
4. Preparation of regulatory reports and change of corporate registration
5. Communications as "Reg Watch", which are related to the Regulatory matters, to 4 SG's entities in a timely and proper manner.
Key Skill Areas & knowledge Required:
Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.
Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Lyxor Asset Management Japan and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management