Compliance Officer, Trade & Communications Surveillance (VP) - Compliance - London, United Kingdom

Responsibilities

Societe Generale is one of Europe\’s leading financial services groups and a major player in the economy for over 160 years. We support 25 million clients every day with more than 126,000 staff in 65 countries.

The Group draws on our European roots to develop our business internationally. Our unique geographic positioning enables us to connect Europe and Africa with major global financial centres in Asia and the Americas.

The Group combines financial strength, proven expertise in innovation and a sustainable growth strategy with the objective of creating value for all our stakeholders. We seek to be a trusted partner in the projects of those building tomorrow\’s world today.

About the team

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.

In conjunction with Business Units and other Service Units, CPLE performs the following tasks with respect to compliance risk:

• Defining and implementing the overall normative framework of the Compliance service and monitoring 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 strengthening 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 entities/activities with a major impact on the Group\’s risk profile, and individually with respect to regulated employees, in compliance with 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 Key Purposes of the Role

• To promptly and accurately perform Trade/Communication Surveillance of key risk areas, reporting any concerns in line with set protocols.
• Support the performance of the broader surveillance programme via case management support to local and global colleagues.
• Proactive collaboration with London, Paris, Casablanca, APAC and AMER surveillance colleagues to introduce efficiencies and develop surveillance operations.
• To identify, elevate and implement solutions to existing or emerging risks impacting the performance of surveillance.
• Perform investigations and report findings as required by set protocols and senior management.
• Lead or participate in existing/established tactical and strategic projects.
• Support and training to more junior colleagues within EMEA and globally.
• Promotion and demonstration of surveillance capabilities to key stakeholders / both business & Compliance colleagues.
• Provide Subject Matter technical expertise / initial pre‑management level support to colleagues.

Responsibilities

• Undertake Trade and Communications surveillance of Equity derivative and/or Fixed Income markets & other business units using the firm\’s monitoring tools as directed by procedures, management and team protocols.
• Compile and issue relevant regulatory reporting obligations where required.
• Proactively manage the associated risks with the extended team TS coverage in Casablanca.
• Support the collation and development of Management Information.
• Lead the implementation and enhancement of surveillance approaches / innovations and/or strategic solutions to meet requirements.
• Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified.
• Represent Capital Markets Surveillance in engagements with key stakeholders on surveillance related topics, risk and issues – as appropriate.
• Proactively develop new and enhance identification and reporting of CMS metrics, KPI\’s, KRI\’s.
• Participate and evolve the review of surveillance controls through engagement with Compliance and BU colleagues.
• Co‑ordination and delivery of regulatory or internal investigations/ reviews, as appropriate.
• Facilitation and/or team co‑ordination of all aspects of the audit lifecycle from the initial presentation of surveillance capability through to recommendation management and reporting.
• Proactive and timely escalation of issues to management.
• Lead departmental and team meetings, as required.
• Active participation at relevant industry and trade association seminars, feeding back relevant information internally.
• Identify, analyse, communicate and implement solutions to surveillance activities as a result of changes to regulation and/or market/company events.

Profile required

• 10+ years relevant experience in Equity Derivatives or FX/Fixed Income Markets.
• Working knowledge of industry leading surveillance tools is an advantage but not essential.
• A \’risk management\’ mind‑set.
• A flexible approach to \’BAU\’ and \’change\’.
• Working knowledge of derivative/Fixed Income regulations markets and practices.
• Analytical approach regarding performing surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
• Respect for highly sensitive nature of the role.
• Teamwork: work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements.
• Innovation: identification and project skills so to facilitate the implementation of initiatives designed to improve the surveillance offering.
• High level documentation and presentation skills.
• English essential and other languages desirable.

EEO Statement

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.

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