Compliance Officer – Control Room recruitment
Main Responsibilities
To ensure that any potential conflicts of interest are dealt with in accordance with the Conflicts of Interest Policy and are referred, as appropriate, to the relevant manager and within Compliance as appropriate
To advise on the application of the Conflicts of Interest policy, and maintain the SGLB register of conflicts.
To undertake appropriate conflicts checks ahead of new deals taking place, where required, and that appropriate and prompt notification of the results of the conflicts checks is made to the relevant business lines, once the conflict checks are completed
Input into the maintenance of the Physical Access policy, and the on-going review of compliance with the policy by business lines
Maintenance of the Watch, Restricted and Insider Lists
To undertake checks for group proprietary positions on an on-going basis
To undertake the appropriate Companies Act, Takeover Panel, regulatory and other reports/disclosures/announcements
Input into the maintenance of wall crossing procedures, and promptly responding to wall crossing requests
Proactive dialogue and liaison with the Control Room Compliance representatives in Paris and other global locations on a regular and frequent basis, ensuring appropriate engagement on issues impacting Compliance and the Business lines beyond the London perimeter, and a consistent approach to the resolution of issues arising
Liaison with the Risk Assessment and Review Unit (“RARU”) on monitoring related issues, and input into the development and operation of the monitoring programme performed by RARU and/or the Financial Crime Unit (“FCU”) on Control Room activities.
Assisting in regulatory and internal investigations as assigned by the Lead Control Room Compliance Officer
Approval of Personal Investment Dealing for SGLB staff
Maintenance of the register of outside business interests, with appropriate follow-up with relevant staff on a case by case basis
Maintenance of records of financial promotions issued and approved by SGLB
Proactive and timely escalation of issues to the Lead Control Room Compliance Officer, ensuring regular and frequent communication on such issues
Maintaining a detailed working knowledge of the FSA rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
Performance of team Permanent Supervision controls
Attendance at relevant industry and trade association seminars
Any other tasks/projects as assigned
- None
Degree of Autonomy
- The role involves autonomy on a day to day basis, but active liaison with the team manager as appropriate
Internal External contacts
- Floor compliance teams, business line staff, SG Group Compliance
- Frequency of contract: as necessary
Specific Context
- Post holder must actively encourage a team approach, with frequent interaction and communication across all areas of the Compliance Department.
- Post holder must actively encourage communication and interaction with compliance colleagues in France
- Occasional travel to Paris may be required
CANDIDATE PROFILE
Education
- Graduate (or equivalent)
Past Experience
- Some control room experience and/or experience in investment banking activities
Languages
- Fluent English, French an advantage, but not prerequisite
Technical Skills
- Working knowledge of FSA rules
- Knowledge of EU directives relating to financial services, as well as knowledge of AMF and ACP rules
General Competencies
- Management Skills
- Operational Skills
- Regulatory Skills
- Communication Skills
- Flexibility - Adaptability
- Ability to make Decisions
- Ability to Work Under Pressure
- Analytical Skills
- Initiative
- Leadership Qualities
- Teamwork
Personal Abilities
- Influencing skills
- Presentation skills
- Report-writing skills