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Description of the Business Line or Department The Commercial department is responsible for implementation and the development of the business through intelligent planning, reliable operations, providing a robust governance framework and creating productive relationships with the Private Banking, Wealth Planning and Credit teams. Due to the variety of different roles within the Commercial team from Marketing, Communications, KYC, Governance and Project management. The Commercial team is able to facilitate supporting the Bankers, the Investment team and Wealth Planning when providing a service to our clients. Summary of the key purposes of the role
Monitor the internal control environment for Commercial in all jurisdictions, to establish that it is robust and meets local regulatory standards. For the avoidance of doubt this covers both execution and service locations for all activity's relationship managed from the UK, the CI and Gibraltar
To work alongside the Head of Business Assurance to provide guidance to 1LOD staff and management of Kleinwort Hambros so that the business remains compliant with all relevant financial crime regulations, legislation and best practice
Summary of responsibilities
Work in collaboration with the group wide Business Assurance team to undertake the timely execution of all necessary first line of defence control activity.
Perform first line of defence control activity including, suitability reviews.
Undertake review / investigations of alerts in relation to sanctions, politically exposed persons and anti-money laundering
Investigate alerts in accordance with agreed procedures relating to quality, consistency and timeliness
Provide feedback to Front Office staff and ensure the closure of identified issues
Maintain the MI logs/registers and assist in the provision of management information on a regular basis to the Head of Business Assurance
Maintain version control of business assurance procedures and execute action plans to remediate exceptions to these procedures
Proactively suggest improvements to processes and procedures which will reduce risk, increase productivity amid ongoing desire for the business to simplify and ensure first time right culture.
Escalate in a timely manner any issue or concerns as they arise to line manager and relevant Compliance Teams
Perform all duties in accordance with the principles outlined in the SGPBH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long- term sustainability of client relationships.
Level of Autonomy and Authority Day to day responsibility on operational matters with escalation to the Group Head of Business Assurance for material exceptions
All our positions are open to people with disabilities
Competencies These are the desired attributes:
Individual contributor competencies as defined in the SG Leadership Model
Strong communication skills
Strong people skills
Team Spirit & Collaboration
Experience in financial services
Knowledge of screening software
Knowledge of legal regulatory and industry requirements
Ability to adapt and change based on requirements
Attention to detail
Work Experience Preference would be:
Financial services experience
Experience in Private Banking/Wealth Management
Experience of performing controls
Knowledge of issues of a Private Banking function and activity
Educated to tertiary level
AML qualification (ICSA Diploma)
Regulatory module of financial services qualification
Retail financial services or asset management threshold qualification
LANGUAGES Any would be desirable but not essential.
Why Join Us
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
Business Insight 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.
Job code: 19000PW5 Business unit: Kleinwort Hambros Starting date: 18/11/2019 Date of publication: 24/09/2019