Compliance Officer, Transversal Compliance Advisory Support for CIB EMEA
- Londres, Angleterre, Royaume-Uni Londres Angleterre GB
- CDI, Plein-temps
- Société Générale - UK
- 10 juil. 18 2018-07-10
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.
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 Wholesale Banking 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, Wholesale banking Compliance activities are centred around five key objectives, in support of senior management, business lines and resource functions, where the business units (“BU”) have first level accountability and responsibility, and where Wholesale Banking 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
• Undertaking monitoring and surveillance activities
• Performing risk assessment, review and control activities
• Managing the relations with regulators
Within CPLE Wholesale banking Compliance, CPLE/CIB covers various BUs (CORI – including MCIB, GLFI) and activities (Financial crime, conflict of interest management) with teams located in Paris, UK and the EMEA countries.
Role of Compliance CIB Advisory transversal sits within the London Corporate Investment Banking Compliance department under the responsibility of the Head of the Corporate Investment Banking Compliance Advisory EMEA (CPLE/CIB).
Summary of the key purposes of the role
* The support team is in charge of the coordination and transversal compliance support dedicated to the CPLE CIB Advisory team.
* The mission covers all topics initiated by the CIB Advisory or Group with regards to the regulatory and compliance framework for the Business Units under the responsibility of the CIB Advisory team (and in particular the GLFI, CORI, MCIB businesses, together “GLFI/CORI Business Units”).
* Within the support team the employee will contribute to the mission of the support team so that the Advisory team is well coordinated to meet its collective objectives. This will involve being the lead contact for CIB Advisory on some specified topics
Summary of responsibilities
The employee will contribute to
* Helping CIB Advisory to co-ordinate and perform its role in relation to validation of BU control framework
* Providing compliance support in connection to all transversal projects impacting CIB Advisory, in particular, ensure timely communication to the CIB advisory team on those project, coordinating the process, focusing on a joined and harmonized approach.
* Pro-actively helping to streamline and make CIB Advisory processes and tools more efficient
* Liaising with other compliance teams and control functions for all relevant projects, in particular REO and CPLE/GBS. Producing CIB governance materials aimed at GLFI/CORI Business Units, and Compliance Management (ICCC of Business units, Comcos).
* Ensuring good record keeping mechanisms dedicated to compliance: minutes of meetings/trainings/key decisions/incidents and issues all properly recorded in written form and saved in relevant team folder.
* Contributing to the implementation of KPI/KRI relevant to the business and more generally, coordinating the Digital transformation projects impacting CIB Advisory
* In relation with CPLE CIB and LDN COOs, co-ordination with London COO to ensure consistency of approach and effective coordination of the UK platform on all matters, i.e. budget process, Compass, P&P, MI etc
* Ensuring that the CIB Compliance Advisory team is involved in all relevant Brexit meetings and fully informed in terms of the impact this will have on the business line that are supported by the team
* Helping the CIB Advisory team co-ordinate and complete the annual risk assessment exercise for topics relevant to CORI/GLFI including coordinating with central teams
* Helping to co-ordinate timely and accurate responses to regulatory enquiries / consultations relevant to the business lines supported by CIB Advisory, liaising with the business and other control and support functions to obtain information as required
* Any other tasks/projects as assigned.
Level of Autonomy and Authority
* The post holder has significant day-to-day autonomy to determine how best to deliver the responsibilities set out above, within a compliance advisory framework determined by the Head of Corporate Investment Banking Compliance Advisory, EMEA
* Regulatory Skills - strong regulatory/compliance product specific knowledge an advantage. Prior experience of dealing with regulators or other control functions both F2F and in response to writing questions essential.
* Communication Skills – excellent oral and written skills and ability to keep management, team and business informed of all key developments
* Flexibility/adaptability – strong experience in managing change and finding tailored solutions
* Ability to make Decisions
* Ability to Work Under Pressure - prior experience in a Compliance department within a financial institution where solutions must be delivered in a fast-paced, demanding environment.
* Analytical Skills –experience of de-coding complex queries to find pragmatic solutions in short time frame
* Initiative – requires self-motivated individual with strong work ethic & desire to deliver to high standards
* Leadership Qualities – ability to clearly define and understand team priorities and how to organise team to meet these
* Teamwork - organising team to ensure deadlines are anticipated and respected
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.