Compliance Officer – Societe Generale recruitment
Main responsibilities
Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner.
Participation in the identification and analysis of regulatory developments at both local and EU level, which will impact on business lines operating within SG London Branch, producing written analysis for further discussion across the Department, and involvement in the assessment whether the regulatory change has any impact on business line/Compliance policies and procedures, and the scope or approach to the compliance monitoring effort with relevant compliance teams
Active participation in the work of the team in relation to implementation of regulatory change
Proactively participate in the provision of support and guidance to the Compliance Department on matters of compliance and regulatory policy and development, seeking guidance as required to ensure that the advice provided is suited to the needs of the business lines
Involvement in the production of a monthly report for the Policy, Training and Registrations team, for consolidation into the monthly Compliance report to the Head of Group Compliance, Senior Management and business lines
Contribution to the updating of the issues log in relation to issues arising in relation to areas covered by the Policy, training and registrations team
Completion of permanent supervision controls for the Policy Training and registrations team, and co-ordination of MORSE updating by team members for the Department as a whole
Development of compliance-related policies for SG London Branch, ensuring engagement with, and active participation of the advisory Compliance Officers and the monitoring team as appropriate
Assisting with the development of compliance policies at a Group level, ensuring that group requirements are appropriately factored into local policies, and managing the communication to, and awareness of such initiatives of, the UK Compliance Department
Providing support for, and where required, input into the development and updating of compliance and regulatory training using one-to-one, classroom or E-Learning methodologies
Active participation in Compliance Projects, as required
Assisting with the maintenance of the regulatory registrations policy, and performance of the regulatory and exchange registrations processes, ensuring effective and prompt communication with candidates and management, where required, and adequate visibility of the status of outstanding registrations to Department and business line management
Administration of compliance training, ensuring adequate transparency and reporting of the status of training across SGCIB, and in relation to e-learning for SGSS
Proactively maintain relationships and open communication with business lines and other control functions in relation to registrations and other issues as required, providing support where necessary to address compliance requirements at earliest opportunity
Proactive and timely escalation of issues to the Policy Training Registrations Senior 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
Participation in departmental and central compliance team meetings, as required
Attendance at relevant industry and trade association seminars
Any other tasks/projects as assigned.
Degree of autonomy
Level of authority
- 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
- Human Resources
- 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
Past experience
- Up to 5 years’ experience in compliance matters, including training and registrations
- Previous involvement in regulatory development/policy an advantage
Languages
- Fluent English, French an advantage, but not prerequisite
Technical skills
- Good understanding of Capital Markets activities
Personal abilities
- Influencing skills
- Presentation skills
- Report-writing skills