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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.
- 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.
- To participate in the development and enhancement of SGLBs 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 liaise with the global Know Your Client (KYC) Function and the London KYC Team to provide guidance on UK requirements.
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 SGLBs 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, SGIL and Lyxor Asset Management
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 SGLBs 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 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 FCUs 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.
COMPETENCIES AND WORK EXPERIENCE
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
An understanding of the securities services industry and/or a testing and review background would be advantageous.
Compliance experience relating to Financial Crime
Qualifications required or desirable
Education: Graduate level or equivalent preferred
Languages: Fluent English, French an advantage, but not prerequisite
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.