Compliance Officer

3 weeks ago

London, United Kingdom eFinancialCareers Full time

In conjunction with the 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 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 regulatedemployees, 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 monitoringof 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.

**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 regulatedemployees, 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 monitoringof 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 Swap Dealer Compliance Office is a team located in the UK and part of the Société Générale London Branch team which is also functionally linked to the Wholesale Market Integrity Division in Paris.

The Swap Dealer Compliance has 2 main roles:

- Dodd-Frank Title VII (DFA): The Swap Dealer Compliance Office is responsible for the ongoing compliance oversight of the implementation and management of the Swap Dealer Compliance Program with the CFTC and the Security-Based Swap Dealer Compliance Programwith the SEC for SG entities impacted: Société Générale SA (registered with both CFTC and SEC) and Société Générale International Limited (registered with the SEC).
- Other OTC derivatives regulations: The remit of the team has recently been extended to cover the OTC derivatives regulations equivalent to DFA such as EMIR, SFTR. The team will provide compliance oversight and advisory on those regulations for the UK perimeterwhile working closely within the team with DFA SMEs and Paris EMIR/SFTR SMEs.

The role holder will be primarily responsible:

- Assist in providing regulatory advice on US/EU / UK OTC derivatives regulations (Dodd-Frank Title VII, EMIR mitigation risk techniques, EMIR margin requirements, EMIR reporting, amendments from EMIR REFIT such as FRANDT) and SFTR requirements.
- Perform regulatory horizon scanning for EU/UK/US OTC derivatives regulations and SFTR requirements.
- Assist in developing and drafting the compliance owned normative documentation, e-learning, live training session as well as performing on an ad-hoc basis training awareness of those regulations, or coordinate those with the Paris team to take UK divergencesin global training or framework if relevant.
- Assist in regulatory submissions (such target population the NFA Swap Proficiency exam).

**Summary of responsibilities**

Advice, support and assist SGLB and SGIL, incl

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