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Description of the Business Line or Department
The Financial Crime Unit ('FCU') is part of the wider Compliance function. It is responsible for providing advice and guidance to business management for the SG investment banking business in London on the financial crimes risks faced by their business and providing an oversight function on the effectiveness of mitigation controls and processes.
Summary of the key purposes of the role
- To be responsible for advising, providing guidance to, and handling financial crime-related issues for a number of business lines within the Investment Bank in London but in particular the Securities Services ("SGSS") business line.
- To participate in the development and enhancement of SGLB's financial crime monitoring programme by working with the business lines, other support and control functions and with the Advisory Compliance Officers on financial crime matters and to assist in resolving any financial crime issues identified. To do so with particular focus on SGSS business in the UK.
- To act as the FCU's principal point of contact between the Unit and SGSS. To liaise with them, as required, to assist them in their management and mitigation of financial crime risks.
- To liaise with the global Know Your Client ("KYC") Function and the London KYC Team to provide guidance on UK requirements.
Summary of responsibilities
Assisting with the implementation and management of the anti-financial crime strategy within the UK covering anti-money laundering, terrorist financing, bribery and corruption.
To work with the Head of the Financial Crime Unit and other members of the team to maintain and further enhance SGLB's financial crime compliance programme in line with SG Group Instructions relating to financial crime matters and UK regulatory standards.
Proactive participation in the maintenance of the risk cartography, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors assessed to determine the residual risk and the actions required to further mitigate, or reduce, the regulatory risk.
Assisting in the maintenance and continuing development of the risk assessment processes including the country risk assessment process.
To approve high risk accounts for SGLB. To do so with particular focus on SGSS business in the UK.
Involvement in the approval of new products from a financial crime perspective.
Assisting with implementing and maintaining appropriate management information for financial crime.
Involvement in the planning, review and design of sanction/embargoes controls.
To provide AML advice and guidance to senior management.
To participate in the development and enhancement of SGLB's financial crime monitoring programme by working with the business lines, other support and control functions and with the Advisory Compliance Officers on financial crime matters and to assist in resolving any financial crime issues identified. In particular, to undertake on-site assessments of the financial crime control framework for SGSS clients where the business has entered into a reliance agreement with that client.
To develop and enhance financial crime related policies and procedures as necessary.
To provide financial crime training to the business and senior management and maintain training records.
To conduct investigations and make reports to the National Crime Agency (NCA) and/or the FCA under the supervision of the MLRO.
To assist the Head of the Financial Crime Unit to produce the FCU's contribution to the monthly SGLB Compliance and Financial Crime Report for the Head of SG Group Compliance and senior management.
Participation in Compliance and other projects as necessary.
Maintaining a detailed working knowledge of the FCA rules and regulations, and UK and EU financial crime related legislation, and a broad awareness of ACPR, AMF, and other regulatory and exchange rules and regulations as required.
Undertake AML monitoring activities as part of a broader shared monitoring framework within the team.
Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner.
Any other tasks/projects as assigned.
Level of Autonomy and Authority
Role involves acting with initiative and autonomy, where appropriate, ensuring proactive upward reporting of relevant issues, as well as seeking guidance and advice as required
Ability to make decisions
Ability to Work Under Pressure
In-depth working knowledge of FCA and other regulatory rules
In-depth working knowledge of financial crime related legislation
Knowledge of EU directives relating to financial services, as well as broad knowledge of AMF and ACPR rules
Compliance experience relating to Financial Crime
If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Societe Generale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender reassignment.