Trainee – Certifications and Registrations - Legal / Taxation / Compliance London - Great Britain
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
Certification and Registrations (CAR)
Summary of the key purposes of the role
- Certification and Registrations' mission is to provide support to the various UK group entities in our scope to manage both the Senior Management, Certification and Code of Conduct Regime and the Approved Persons Regime. The team is also key in assisting with any entity transition from the Approved to the SMCR regimes.
- The team manages the regulatory registration and certification requirements for UK staff or staff acting in a regulated capacity in the UK.
Summary of responsibilities
- Ensure, as and when require, complete, correct, and timely staff registration submissions to the PRA and FCA, or the retention and review of adequate documentation, for staff subject to the approval / certification requirements of the UK regulatory regimes.
- Liaise with various stakeholders, including prospective SG staff in the UK and local HR.
- Develop expertise in and awareness of the requirements of the regulators, associated with these activities.
- Support regulatory changes as they arise, including the changes linked to the new PRA / FCA Senior Management and Certification regimes.
- Ensure good processing of the regulatory registration/certification and processes for SG staff based in the UK and abroad
- Support the staff registration processes and submission to the regulators;
- Ensure appropriate controls are in place over regulatory registration and processes;
- Escalate issues and anomalies to senior member of the team and support resolution, communicating information discreetly when warranted.
- Ensure that all involved parties are aware of and act to protect the sensitive information they are privy to in the performance of their duties.
- Support the process to ensure overseas personnel visiting the UK above the regulatory thresholds are appropriately monitored and relevant parties are aware of their certification status
- Support any relevant regulatory change, including the transition of non-bank entities to the new Senior Management & Certification regimes
- Support the effort to adapt to the new Senior Management & Certification regimes and embrace changes to be implemented in managing Staff regulatory registration within the context of those new regimes.
- Build awareness of the tools used by the team.
- Suggest new operational procedures and controls subsequent to the above changes and implement ongoing tool and process improvement.
All our positions are open to people with disabilities Profile Competencies
- Experience in an organisation with a fast-paced, demanding environment;
- Understanding of commercial organisations or prior knowledge of banking world through studies/ internship;
- Ability to review and analyse data, with a strong working knowledge of Excel;
- A sound knowledge or appreciation of legal regulatory & industry requirements;
- Excellent communication skills (both oral and written);
- High attention to details and ability to manage confidential information with rigour and precision;
- Ability to work under pressure and deliver to deadlines;
- Self-motivated with strong work ethic & desire to deliver to high standards;
- Ability to prioritise team success over individual performance;
- Flexible mindset - adaptable;
- Analytical skills.
- Native French speaker
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: 19000FEE
Business unit: SG CIB
Starting date: 29/07/2019
Date of publication: 01/07/2019