Compliance Officer, Control Room, Associate - Compliance - London, United Kingdom

Responsibilities Description of the Business Line or Department Mission Statement of CPLE: Build a Compliance Division recognized as a trusted, efficient, and independent partner enabling a sustainable business development for the Group. The Group 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 across the entire Group.

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;
• Consolidating and monitoring significant compliance events in the entities.

Summary of the key purposes of the role:

To achieve its mission statement, CPLE/WSB/SUR activities are centred around five key objectives, in support of senior management, business lines and resource functions:

• 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

The Control Room is part of the CPLE Regulatory Surveillance department under the responsibility of the Global Head of Control Room (CPLE/WSB/SUR). CPLE/WSB/SUR has three main functions:

• Global Control Room (GCR): Transactional & Personal Conflicts of Interest and management of the firm Watch & Restricted Lists
• CMS: Monitoring & Surveillance of bank trading activity and electronic communication surveillance.
• SSD: Monitoring of positions and trade collection, Central reporting, Regulatory watch of disclosures rules.

A Compliance Control Room officer provides proactive support to the Control Room activities within Control Room team:

• Ensuring appropriate identification, management and resolution of Conflicts of Interest arising from the investment banking, relationship and research business line.
• Providing and ensuring that the team provides timely advice on internal policies regarding Conflicts of Interest, Information Barriers and other Control Room frameworks.

Profile required Summary of responsibilities:

• Ensure that appropriate Conflicts checks are undertaken ahead of new deals from Private side business lines.
• To capture and record, where required, conflicts in the conflicts management system and to make the appropriate and prompt notification of the results of the conflicts checks to the relevant business lines once the conflict checks are completed.
• Ensure that any conflicts of interest arising from Private Side activities are dealt with timely in accordance with the Conflicts of Interest Policy.
• Maintain the Watch, Restricted and Insider Lists and associated processes pursuant to legal, regulatory and/or policy considerations.
• Provide timely and appropriate advice to staff for all Control Room Policies and Procedures where required.
• Clear Investment Research against the Watch & Restricted Lists to ensure compliance with legal and regulatory obligations.
• Support the Personal Account Dealing (PAD) framework, approving requests of SG London Branch staff as required per the Personal Investment Policy in the UK and EMEA.
• Support the Outside Business Activity (OBA) framework, approving requests of SG London Branch staff as required per the Managing Personal Conflicts (MPC) Policy in the UK.
• Maintain Information Barrier and Wall Crossing procedures and ensure that Wall Crossing requests are actively and promptly challenged, recorded & managed.
• Support the Global Insider List Tool (GILT) framework by challenging and validating GILT requests promptly.
• Support the UK CR Control Framework by completing controls promptly and escalating any concerns regarding results and/or the effectiveness of the control(s).
• Complete your eLearning in a timely manner.
• Assist with the delivery of training to the business lines and other members of Compliance on CR process related topics.
• Handle and ensure the recording of breaches arising related to CR processes and escalate as appropriate.
• To assist the team in charge of threshold disclosure to ensure that the appropriate shareholder positions and trades regulatory disclosures are made timely in the UK under the Companies Act and the Takeover Code.
• To liaise proactively with the GCR in other locations, ensuring consistent and coordinated approach to the GCR framework.
• To proactively support the GCR re-engineering Programme and the continuous improvement of GCR Systems.

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.

At Société Générale, 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 identity.