Controls Trainee

1 month ago

London, United Kingdom Société Générale Full time

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

MARK/BTO/ORM is the team dedicated to the management of MARK Business Unit’s Operational and Conduct Risks.

As an ORCM (Operational Risk and Conduct Managers) team it:

- ensures - as concerns non-financial risk matters - the management and the global consistency of Norms (policies, rules, procedures), Controls (1st line of defence, including FBK/Watch, permanent supervision and anti-fraud), Governance (definition of rules, design of controls, analysis of control results) and Processes and tools.
- Provides the necessary support to MARK to manage and mitigate their operational and conduct risks.
- Gives a comprehensive yet readable view of operational and conduct risks in MARK activities.

MARK/BTO/ORM is part of a wider 3-line of defence model:

- 1st line of defence is composed of all MARK staff and especially MARK managers, who own and manage operational and conduct risks and are supported in this mission by dedicated teams in MARK/BTO/ORM.
And is completed by the ORM department who is dedicated to 1st line of defence for GBSU support functions as well as on some transversal topics such as IT and cyber-security
Both under the coverage of the SGIL CBCO team.
- 2nd line of defence is composed of Risk, Compliance and Finance, who oversee the overall operational risk management framework from different angles
- 3rd line of defence is ensured by Internal Audit and Inspection, who perform independent and periodic reviews

Overall MARK/BTO/ORM’s role is to:

- Identify, control and measure operational and conduct risks;
- Define, implement and communicate the rules for the prevention of operational and conduct risks;
- Define and implement the MARK governance to review the Operational and Conduct Risk through the OCR Committees;
- Define and implement the control framework and performing its supervision;
- Define and implement controls;
- Perform part of those controls.

MARK/BTO/ORM in Europe is a larger team composed of the following teams, some of which may have local presence in the UK:

- Norms and Oversight team
- Regulatory & Sales
- Controls
- Control Production and Analysis team
- Investigation team
- Front Office Supervision
- Volcker and French Banking Law team
- ORM Referential team
- Operational Risk and Conduct Managers (ORCM) (in which the role will be):

- Risk and Control Self-Assessment (RCSA);
- Op incidents declaration and follow-up;
- Fraud and Misconduct;
- Information Security;
- Business Continuity management.

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

Main Missions:

- Coordinate the Permanent Control Transformation Program for MARK UK (SGLB and SGIL)
- Participate in the First line of defence control framework enhancement for MARK UK (SGLB and SGIL)
- Participate in the Management Information and Reporting to MARK senior management, governance committees, auditors and regulators (SGLB and SGIL).
- Assist in the Permanent Supervision framework for MARK UK (SGLB and SGIL)
- Assist MARK/BTO/ORM ORCM to coordinate MARK/BTO/ORM’s 1LoD missions with 2LoD teams;
- Assist MARK/BTO/ORM ORCM in answering requests from regulators and senior management on non-financial risks;
- Work on specific transversal projects linked to the 1LoD for MARK UK (SGLB and SGIL)
- Build and maintain effective relationships with FOs, COOs and the operational risk managers supporting each BU/SU in SGLB and SGIL

This role does not require a specific certification.

Scope: this role covers all MARK activities in the UK (SGLB and SGIL)

Reporting line: this position will report to MARK/BTO/DIR

**Summary of responsibilities**

1 - Coordinate the Permanent Control Transformation Program for MARK UK (SGLB and SGIL):

- Support the deployment of Permanent Control Transformation Program for MARK UK (SGLB and SGIL) by coordinating the relation with PCT central stakeholders (DGLE/PIC, MARK SGPM and GBSU EMEA)
- Manage the PCT deliveries (control deployment and mapping)
- Monitor and report on the MARK UK PCT deliveries
- Prepare the roadmap across MARK UK (SGLB and SGIL)

2 - In addition to PCT, participate in the First line of defence control framework enhancement:

- Participate to the design and improvement of the SGIL MARK control framework. Participate in the execution within MARK of the applicable control framework for operational and other non-financial risks, in close cooperation with Front Office across SGLB and SGIL.
- Control issues and remediation: Participate in the review to ensure the environment of controls is appropriate, identify gaps and address the weak areas. Participate and/or support mitigation and remediation efforts and monitor progress to ensure issues are addressed on a timely basis

3 - Participate in the Management Information and Reporting to MARK senior management, governance committees, auditors and regulators:

- Participate in preparation of reporting on matters relating to the effectiveness of the first line

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