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Description of the Business Line or Department The Compliance Service Unit (CPLE) is responsible for the definition and consistency of the compliance risk prevention and control system, and for coordinating the framework aimed at preventing, identifying, assessing and controlling reputational risk. In conjunction with the Business Units and other Service Units (BU/SUs), CPLE performs the following tasks with respect to compliance risk: § defining and implementing the overall normative framework of the Compliance service and monitors its implementation; § defining procedures and implementing a framework to ensure compliance with respect to compliance risks; § awareness-raising among Group employees regarding compliance risk and the strengthening of the compliance culture within the Group; § mapping and analysing Group compliance risk and general vigilance regarding issues likely to harm the Group's reputation or that of one of its activities; § performing the second-level control and supervision of the framework, including independently assessing compliance risk management within the entities/activities with a major impact on the Group's risk profile, and individually with respect to regulated employees, in compliance with the applicable regulations; § monitoring relations with supervisory and regulatory authorities, and representing the Societe Generale Group to these authorities, not including supervisory and regulatory authorities where the Legal function (SEGL/JUR) organises and coordinates the monitoring of these relations, in particular the Autorite de Controle Prudentiel et de Resolution (ACPR) and the European Central Bank (ECB); § consolidating and monitoring significant compliance events in the entities Senior Management and Certification Regimes Advisory and Compliance (SMC) * SMC's mission is to provide support to the various UK group entities to manage the Senior Management, Certification and Code of Conduct Regimes (SMCR). * The team manages the regulatory registration and certification requirements for UK staff or staff acting in a regulated capacity in the UK.
Summary of the key purposes of the role * Support the SMC team by carrying out the day to day SMC processes * Ensure data integrity by maintaining accurate records of employee Certifications ensuring that records are kept up to date at all time, including the Staff Registrations Tool and electronic folders and assisting with related reconciliations. * Support the implementation of SMCR as required
Summary of responsibilities Support the SMC team by carrying out the day to day SMC processes * Communicate clearly and effectively to manage relationships with key stakeholders including HR, Business Correspondents (BMOs), Managers and external providers during the FCA Registration/Certification process; * Process staff FCA Certification/registrations in a timely manner in line with regulatory timelines; * Process staff withdrawals in a timely manner; * Assist with ensuring that individuals are appropriately trained prior to their authorisation or to maintain their authorisation to ensure they have the required level of competency in order for SG to be able to satisfy regulatory requirements; * Managing the weekly Mandatory Compliance Induction including, delivery of key messages on certification, invites and attendance. * Assist with preparing submissions for SMF approvals; * Assist with gathering information and responding to regulatory queries on specific cases; * Update entries in Connect for the FCA Register and Directory; * Assist the team by attending regular meeting with BMOs to inform them on progress and any issues with certifications and by keeping permanent members of the team informed of any issues raised by the BMOs. * Provide support on the annual certification campaign. Ensure data integrity * Ensure the Staff Registration Tool is updated in line with the requirements of the FCA Directory; * Prepare relevant Management Information to allow management visibility on the functioning of the FCA registrations and Certifications processes; * Prepare related controls and remediate anomalies identified as part of the regular control processes. Support the firm's implementation of SMCR * Support the Senior Management and Certification regime and suggest process improvements in relation to the rules around the regime; * Assist the team by compiling normative documentation * Assist the SMC team members with any ad hoc or other tasks requested in relation to SMCR implementation and ongoing operation. Internal/external contacts * Business Line management and staff; * Management of SG London Branch, Societe Generale International Limited and Lyxor Asset Management UK LLP * SG Group Compliance; HR; Legal; * External training providers; * Wholesale Banking Compliance officers worldwide.
Competencies * A sound appreciation of legal regulatory & industry requirements; * Excellent communication skills (both oral and written); * Enthusiastic and highly motivated; * High attention to detail * Ability to manage confidential information; * Flexible and adaptable; * Able to work under pressure; * Analytical and operational skills; * Mature and professional approach to work; * Proactive and able to show initiative where appropriate; * Inquisitive; * Teamworker; * French language skills would be an advantage.