Compliance Controls Officer

2 weeks 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

SG has developed a second line of defence Compliance Controls team (CPLE/CTL) with teams located worldwide. With direct reporting to the Group's General Management, the Compliance Controls team (CPLE/CTL) mandate is to operate, within the 3 lines of defence model, as a 2nd Line of Defence (LOD) Compliance Controls function covering both Regulatory and Financial Crime Compliance risks, based on a robust compliance risk assessment which drives the prioritization of the risk-based annual monitoring review plan.

The objective of the Compliance Controls department is to assess and test independently the adequacy and effectiveness of the 1st LOD compliance risk and control framework that the Business Units (BU) and Support Units (SU) have put in place to mitigate the risks of non-compliance, reputation and misconduct that SG Group is exposed to across its business activities and operations globally.

The Compliance Controls team in London is responsible to cover SG Wholesale Banking activities in the UK for SG London Branch and SG International Limited.

The Compliance Controls department includes specialised teams to cover the annual control plan primarily for the following BUs and supporting SUs:

- Global Markets (MARK),
- Global Banking and Advisory (GLBA),
- Global Transaction & Payment Services (GTPS),
- Global Business Service Unit (GBSU),
- Other SUs supporting the BUs listed above (CPLE, RESG, RISQ, SEGL, etc.).

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

The mission of the UK Compliance Controls Officer is to conduct - primarily but not exclusively - risk-based reviews of SGLB and SGIL, with a focus on a specific perimeter as agreed with Management. The role includes, but is not limited to, the following responsibilities:

- Assist in the development and timely delivery of the annual control plan,
- Ensure timely tracking and resolution of CTL’s recommendations,
- Maintain regular engagement and provide feedback with/to key business and Compliance stakeholders, and

Ensure timely implementation of internal/external audit and regulator’s recommendations assigned to CTL

**Summary of responsibilities**
- Development of the annual control plan
- Support the Manager in developing the annual risk-based second level control plan pertaining to his/her perimeter by reference to meetings with Business and Compliance stakeholders, the results of the compliance risk assessment and other relevant indicators (e.g. regulatory agenda, past regulatory examinations, compliance reviews or internal audits, etc.)
- Delivery of the annual review plan and reporting
- Execute reviews and report results to the Manager. A typical review will include planning, fieldwork and reporting phases, and will require the following:

- Perform research and gather sufficient information to understand the theme/activity to be reviewed;
- Meet with business and Compliance stakeholders to understand the business and regulatory context;
- Perform walkthrough and document business processes through the use of workflows, where required;
- Formalise scoping document, design and execute testing programme;
- Document review work on the appropriate CTL templates/tools and timely escalate findings;
- Super

  • Compliance Officer

    Found in: Talent UK 2A C2 - 3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast UK C C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast UK C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...

  • Assistant Compliance Officer

    18 hours ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for an Assistant Compliance Officer to join the thriving team. **THE RESPONSIBILITIES**: - Provide general regulatory guidance and advisory services to certain internal business...

  • Compliance Controls Officer

    3 weeks 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...

  • Chief Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

  • Senior Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serve as an advisor to the business, and interfaces regularly with business...

  • Compliance Officer

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - CMP tracking, testing, monitoring and deep dives. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and...

  • Junior Compliance Officer

    Found in: Talent UK 2A C2 - 1 week ago

    London, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team.This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization.Key responsibilities will include: ...

  • Junior Compliance Officer

    6 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Key responsibilities will...

  • Compliance Monitoring Manager

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...

  • Compliance Advisory Officer

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Officer Monitoring

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Manager

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. THE RESPONSIBILITIES: Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance...

  • CASS Controls Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading trading platform that is ambitiously expanding their Business. They are looking to hire a CASS Controls Officer on a permanent basis. THE RESPONSIBILITIES: Support the design and development of the UK entity CASS control framework Assist in the development and maintenance of a strong culture of controls Work...

  • Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. THE RESPONSIBILITIES: Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. ...

  • CASS Controls Officer

    Found in: Talent UK 2A C2 - 2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading platform that is ambitiously expanding their Business. They are looking to hire a CASS Controls Officer on a permanent basis.THE RESPONSIBILITIES:Support the design and development of the UK entity CASS control frameworkAssist in the development and maintenance of a strong culture of controlsWork with the CASS...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management.THE RESPONSIBILITIES:Producing draft of policy documentation.CMP tracking, testing, monitoring and deep dives.Conduct Risk and Compliance assessment, monitoring and reporting raising concerns.Managing and keeping updated, the...