Trainee - Compliance - Regulation & Policy- (H/F)/x

4 months ago

London, United Kingdom Société Générale Full time

**Responsibilities**:
**Description of the Business Line or 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.

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, 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.

**Summary of the key purposes of the role**

The functional remit of the Regulation and Policy (RAP) team is UK Wholesale Banking, as part of the wider UK Regulatory Compliance team. It is based in London and comprises a strong collaborative model with equivalent teams in the Bank’s Wholesale Banking regions (AMER, ASIA, EMEA), Group Compliance, as well as UK Legal, UK Governance & Conduct and Group Secretariat colleagues.

The RAP team’s UK Wholesale Banking scope encompasses Societe Generale London Branch (SGLB) and any other in-scope entities supported by the RAP team (currently Societe Generale International Limited (SGIL)).

The key objective of this post-graduate trainee position is to support the delivery of the RAP team’s mandates. This calls for:

- A keen interest in the Wholesale Banking industry, Societe Generale’s activities in the UK and a general understanding of corresponding UK regulatory obligations, particularly in the context of UK/EU regulatory divergence; and participation in regulation and policy projects.
- The ability to support the RAP team’s regulatory horizon scanning, impact assessment and regulatory interpretation engagements, and the ability to identify the impacts of these upon SGLB Compliance policies and procedures.
- Proactive contributions to the RAP team’s policy and training activities, informed by a working understanding of Group-level equivalents and the synergies/differences between them.
- An appreciation of the governance and control frameworks in place to fulfil the Bank’s regulatory obligations and close collaboration with the team’s stakeholders both within and outside of Compliance.

**Summary of responsibilities**

Under the supervision of senior members of the team:

- Supporting the RAP team with the horizon scanning, notification and action tracking of regulatory developments relevant to UK Wholesale Banking Compliance, including rule changes, evolving regulatory expectations and enforcement actions.
- Supporting the RAP team with the development of quarterly SG London and Group-level committee presentations and management information reports covering policy, regulatory development and training deliverables.
- Supporting the RAP Team with the creation of the annual SG London Compliance Training Development Roadmap and RAP-specific training development, including Compliance Induction, Key Compliance Principles and Complaints Handling modules.
- Collaborating with RAP team members to identify and implement innovative uses of existing technology, to achieve operational efficiencies in the RAP team’s regulatory development and policy management processes.
- Maintaining the RAP team’s committee and industry event participation Trackers. Rotating the attendance of designated industry forums on regulatory developments with other RAP colleagues and presenting summaries of key discussion points.
- Developing a clear understanding of other UK Wholesale Compliance coverage areas, Business Units, Service Units and products/services provided by the Bank. Utilising on this knowledge to optimise the execution of day-to-day deliverables.

**Profile required**:
**Competencies**
- Proven interest in financial regulation and the fin

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