Compliance Officer - EMEA Risk Assessment and Controls Review Analyst - Legal / Taxation / Compliance London - Great Britain
Description of the Business Line or Department
Mission Statement of CPLE Compliance:
"To enhance and maintain a robust compliance framework, in partnership with all stakeholders, to execute the firm's strategy in accordance with its risk appetite, regulatory expectations and industry best practices".
In order to achieve its mission statement, Compliance activities are centred around five key objectives, in support of senior management, business lines and resource functions, where the business lines have first level accountability and responsibility, and where Compliance's responsibility is with respect to compliance, reputational and conduct risk matters. These five key objectives are as follows: Providing advice and policy development
Facilitating knowledge and awareness
Coordinate monitoring and surveillance activities
Performing risk assessment, review and control activities
Managing the relations with regulators
Capital Markets Surveillance ('CMS') has a specific mandate within Compliance to perform the 3 rd objective, with responsibility of Trade and Communications surveillance on the Wholesale banking scope. Summary of the key purposes of the role
Summary of responsibilities
- Participate to the EMEA Market Abuse risk assessment, maintain and improve where possible the risk assessment process
- Perform the yearly EMEA control review program
- Maintain control related data referential for EMEA Trade Surveillance, including Heatmaps and lists of controls and risks
- Maintain and develop policies and procedures related to the risk assessment and the review of EMEA Trade Surveillance controls
Level of Autonomy and Authority
- Perform the Trade Surveillance control review program for EMEA and ensure its completion within the year. Liaise with EMEA Trade Surveillance teams for their contribution to the reviews, by sharing their analysts' surveillance expertise.
- Participate to the governance related to above reviews (eg. Validation meetings organization and documentation)
- Keep all CMS Trade Surveillance referential current and up to date with all validated changes in the surveillance framework originating from the reviews, the implementation of CMS Roadmap, or any other source
- Perform initial risk assessment for new activities, new risks, as needed
- Support the Trade Surveillance Teams in the definition of solutions to develop Trade Surveillance efficiency and coverage
- Participate to CMS EMEA TS teams training on topics related to risk assessment and reviews.
This is a key risk control role. Overseeing various businesses and ensuring 'BAU' is aligned with internal and external rules and requirements. The role aims to ensure key partnerships are in place to track the progress of a surveillance protocol which is in constant evolution.
All our positions are open to people with disabilities Profile Competencies
- Experience of risk management / market surveillance or transferable skills. Preferably in a risk management/regulatory framework at leading Tier 1 or 2 Financial Institutions
- Good knowledge understanding of the business activities covered by CMS Trade Surveillance, as well as of the Market Abuse Regulation or any other regulation applicable to CMS Trade Surveillance activities
- High level of planification to be able to deliver in a defined schedule
- High level of Coordination and collaboration skills, as the team needs to work permanently with the EMEA Trade Surveillance Teams, as well as with many other functions within compliance, business, or support, both to perform its reviews, and to define solutions to cover identified gaps
- Good communicator to liaise with various stakeholders
- High level documentation and presentation skills
- Attention to detail.
- Respect for highly sensitive information
- French speaker if possible
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
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: 19000HVX
Business unit: SG CIB
Starting date: 19/08/2019
Date of publication: 10/07/2019