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Compliance Officer, GBS - Support & Transversal Functions
Société Générale - UK
June 11, 2018
London, United Kingdom
People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like "hard work" and "dedication" together with "community" and "respect" has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.
DESCRIPTION OF THE BUSINESS LINE OR DEPARTMENT
Mission Statement of Compliance (CPLE): "Build a Compliance Division recognised as a trusted, efficient and independent partner enabling a sustainable business development for the Group".
In order to achieve its mission statement, Compliance activities are supported by 10 Guiding Principles, as follows:
Build a global Compliance team operating along clear, simple and shared rules in a spirit based on openness, mutual trust and respect
Build a global Compliance Division committed to translate regulations into appropriate internal rules so that business is accountable for their implementation. Actively promote compliance risk awareness across the bank
Build a global Compliance Division implementing an effective compliance program based on a comprehensive risk assessment and robust controls and testing framework
Build a global Compliance Division making responsive and well informed decisions / statements in a consistent, timely and documented way
Build a global Compliance Division operating close to the BUs/SUs enabling sustainable business, with its central teams focusing on strong specific expertise and transversal supervision
Build a global Compliance Division providing Management and Board with meaningful, transparent and regular reporting and advice on Compliance risks
Build a global Compliance Division fostering trustworthy relationships with regulatory bodies based on sound, transparent and professional dialogue
Build a global Compliance Division leveraging on innovation, actively looking to benefit from new technologies and data analytics and promoting experimentation
Build a global Compliance Division composed of well trained professionals, up to date on their area of expertise, and whenever possible certified by external bodies
Build a global Compliance Division attractive to highly motivated talents with diverse backgrounds and adding strong value to their career path
Within CPLE, the CPLE/GBS department is made up of 2 teams: a team dedicated to regulatory projects impacting Wholesale activities, and a Compliance Advisory team, whose mission is to support the GBS Service Unit dedicated to support post-trade functions of the Wholesale activities, in the control of its risks of non-compliance and reputational risk.
Summary of the key purposes of the role
The main responsibilities include –
The role focuses on operational compliance matters, and provides direct compliance support to the ROCS, CLIC, ITEC, OPER, DFIN and MACC functional areas.
As many of the support processes are undertaken in Paris, the role will have direct interaction with some key resources in Paris to facilitate full oversight of the infrastructure supporting the London SG CIB businesses
The post holder reports into the GBS Manager in the UK, and will have close interaction with the CPLE/GBS in Paris including the regulatory project team.
Compliance Advisory The main tasks relating to compliance advisory tasks include -
As Compliance Officer, supporting ROCS, CLIC, ITEC, OPER, DFIN and MACC departments and providing direct compliance advice and support to these resource functions to highlight any regulatory risks, to define adequate appropriate mitigating action plans and to ensure effective information flow as required.
Upholding the FCA and PRA Principles for Business and acting as compliance support in developing culture of compliance and conduct initiatives with conduct & culture partners, business partners and senior management within support functions Community.
Providing Compliance input into the implementation of any regulatory changes supporting resource functions to deliver such changes.
Reviewing MI with resource functions and identify improvements in Compliance visibility in regulatory breaches and risks.
Undertaking research required to respond to enquiries, from regulatory authorities, exchanges and law enforcement agencies as appropriate, and keeping Compliance Management fully informed of issues arising impacting the resource functions community.
Defining compliance requirements to be efficient on ad hoc requests, regulatory visits or face to face meetings from/with regulatory bodies (such as FCA, AMF, ESMA and other key regulatory bodies) that involve resource functions staff (including training resource functions staff on approach in such interviews and attending meetings and producing internal briefing notes post meetings).
Recording and maintaining any policy that impact resource functions staff directly.
Working with DTO and other UK digital technology initiatives (e.g. Digital Innovation teams) to support any such digital initiatives being implemented within resource functions (including Cloud and data lake initiatives impacting UK).
Identifying, preparing and providing (personally or externally) training on any regulatory themes to support functions community.
Working with the Data Protection Officer and Information Security Officers for the SG London Branch in the development and implementation of Data Protection and information security controls.
Assisting GBS manager in providing compliance support on cyber security matters impacting UK.
Other duties as required
LEVEL OF AUTONOMY AND AUTHORITY
The role involves autonomy on a day-to-day basis and requires active liaison with management as appropriate. The job holder makes decisions to daily tasks and to ensure support good progress on the deliverables of the team. The job holder must refer to his management for decisions relating to more strategic and organisational matters.
COMPETENCIES AND WORK EXPERIENCE
Regulatory/Compliance knowledge including sound appreciation of legal regulatory & industry requirements.
Significant experience in a similar position or in a Legal, Risk or regulatory project management position in Investment Bank.
Regulatory reporting expertise would be an advantage.
Project Management capability, planning work, meeting deadlines, multi-tasking, excellent organisational skills would be an advantage.
Understanding of development life cycle methodology would be an advantage.
Experience of delivering cross-border projects regionally.
Excellent communication skills (both oral and written) and ability to communicate on technical development matters.
Ability to understand new technology methods and implication of such methods.
Self-motivated with strong work ethic & desire to deliver to high standards.
Fluent English French an advantage
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.