Compliance Officer: Trade Surveillance - Risk Assessment and Control Review, VP in London

Description of the 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.

Responsibilities

Description of the 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.

• 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 Société 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

All roles at Société Générale CIB are expected to demonstrate a strong commitment to effective risk assessment and management, sound judgement, and speaking up when noticing behaviours or outcomes creating unintended risk.

You will be expected to operate with integrity, manage risk proactively in day-to-day activities, log and elevate issues promptly and constructively, and contribute to a culture of continuous improvement and self-accountability.

About Societe Generale

SociétéGénérale is a leading global investment bank and financial services group.

With over 119,000 employees serving around 26million clients across more than 62 countries, we deliver excellence through three core business lines: French Retail Banking; International Retail Banking & Financial Services; and Global Banking & Investor Solutions (our investment banking and markets division).

Our strong commitment to sustainable performance reflects in our strategic ambition to be a rock-solid, innovative partner for clients navigating today’s dynamic financial landscape.

• Summary Of The Key Purposes Of The Role
• Play a key role in delivering the global Risk Assessment, Control & Desk Review (RACR) roadmap, supporting the effectiveness and continuous enhancement of the Capital Markets Surveillance risk and control framework.
• Contribute to the development and execution of a robust Market Abuse Risk Assessment framework, ensuring that market abuse risks across products, trading activities and regions are appropriately identified, assessed and addressed through effective surveillance controls.
• Perform independent reviews and assessments of surveillance controls, evaluating their effectiveness, identifying potential control gaps and supporting the identification and mitigation of market abuse risks.
• Conduct targeted reviews of trading desks, trading systems and trade flows to develop a strong understanding of business activities and product coverage, and to ensure that the Market Abuse Risk Assessment and associated surveillance controls remain aligned with the underlying risks.
• Act as the RACR point of contact for UK-related matters, coordinating with relevant stakeholders on risk assessment, control effectiveness, issues and emerging concerns.
• Collaborate across the global Capital Markets Surveillance function, particularly with teams across EMEA, Americas and APAC, to promote a consistent and objective approach to risk assessment, control evaluation and surveillance model effectiveness.
• Support the continuous optimisation of the surveillance control environment, identifying opportunities to strengthen governance, improve control design and coverage, and increase the efficiency and effectiveness of market abuse risk management.
• Summary Of Responsibilities
• Risk Assessment & Desk

Reviews: Conduct risk-based reviews of trading desks, products, trading systems and trade flows, with particular focus on Fixed Income and Commodities, to identify and assess market abuse risks and support the ongoing development of the Market Abuse Risk Assessment framework and associated risk heatmaps.

• Control Assessment & Optimisation: Perform independent reviews of Trade Surveillance controls to assess their design, coverage and effectiveness.

Identify surveillance gaps, recommend remedial actions and work with relevant stakeholders to develop or enhance controls addressing identified risks.

• Market & Surveillance

Expertise: Apply strong financial markets, product and Market Abuse Surveillance expertise to challenge existing risk and control coverage, assess new or evolving risks and contribute to the continuous enhancement of the EMEA and global Surveillance programme.

• Control Development & Change: Partner with Surveillance, Change Management and Technology teams, including surveillance vendors where appropriate, to design, develop and enhance effective and efficient Trade Surveillance controls, ensuring changes are appropriately governed, documented and implemented.
• Stakeholder Engagement & Advisory: Collaborate closely with Front Office/1Lo D, Compliance Advisory, Surveillance teams across EMEA, APAC and the Americas, Audit and other key stakeholders to provide expert input on market abuse risks, control effectiveness and new or changing business activities.
• Governance & Framework

Management: Support the maintenance and continuous improvement of the Market Surveillance control framework, including risk assessments, heatmaps, control inventories, methodologies, policies and procedures, ensuring reviews, enhancements, gaps and remediation actions are appropriately documented and tracked.

• Regulatory & Assurance

Support: Monitor relevant regulatory and market developments, assess their potential impact on Surveillance risk and controls, and provide subject‑matter expertise and support for Audit, Inspection and regulatory enquiries.

• Industry & Best

Practice: Contribute to relevant industry forums and engagements to identify emerging market abuse risks, regulatory expectations and surveillance practices that can further enhance the RACR and broader Capital Markets Surveillance programme.

• Required
• Profile required
• Competencies
• Experience & Market

Expertise: Relevant experience in Market Surveillance, Trading, Risk Management or a related Capital Markets function, with strong knowledge of financial markets, trading practices and products, particularly Fixed Income, derivatives, structured products and/or Commodities.

• Market Abuse & Regulatory

Knowledge: Strong understanding of Market Abuse risks, surveillance frameworks and relevant market regulations, with the ability to translate regulatory requirements and evolving market practices into effective risk assessments and controls.

• Risk & Analytical

Mindset: Strong risk management and analytical skills, with the ability to assess complex trading activities, identify emerging risks and control gaps, evaluate control effectiveness and develop practical, risk‑based recommendations.

• Surveillance & Technical

Capability: Good understanding of Trade Surveillance controls and methodologies.

Experience with leading Market Abuse surveillance platforms is advantageous.

Strong quantitative and data‑analysis skills are expected, with coding or data science capabilities considered an advantage.

• Stakeholder Management & Influence: Demonstrated ability to engage, challenge and influence senior stakeholders across Front Office, Compliance, Technology and other control functions, and to collaborate effectively within regional and global teams.
• Change & Continuous

Improvement: Ability to operate effectively across both BAU and change initiatives, demonstrating strong problem‑solving, innovation and project‑management skills to drive enhancements to risk assessment and surveillance controls.

• Communication & Governance: Excellent written and verbal communication, documentation and presentation skills, combined with strong attention to detail, accurate record keeping and the ability to manage and prioritise multiple deliverables in a highly sensitive and confidential environment.
• Demonstrated risk mindset: Proactive identification and escalation of risk, sound judgement under pressure, and willingness to speak up and challenge constructively
• Demonstrate a strong risk culture by balancing commercial objectives with sound judgement and client outcomes
• Languages: Fluency in English required; French would be an advantage
• Why join us

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.

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 identity.