Compliance Advisor

1 month ago


London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full time
About the Role

As a Compliance Advisor - Regulatory Expert at SGS Société Générale de Surveillance SA, you will play a pivotal role in ensuring our compliance with regulatory requirements. The position is based in London and reports directly to the UK Head of Group Compliance Policy and Oversight (CPLO).

The primary responsibility of this role is to provide expert advice on Dodd-Frank Title VII, EMIR, and SFTR regulations, working closely with the Swap Dealer Compliance Advisory team. You will act as a key point of contact for regulatory queries from the FCA, CFTC, NFA, or SEC.

You will be responsible for proactively providing compliance advice, overseeing complaint handling investigations, and participating in projects related to new regulatory developments or UK/EU divergences. Additionally, you will assess the level of regulatory and reputational risks associated with transactions, projects, or products and escalate these to the appropriate governance for decision-making.

About the Team

The Swap Dealer Compliance Advisory team has a global mandate to provide proactive compliance and regulatory advisory services to Societe Generale SA. As part of this team, you will work closely with the Central team in Paris on common topics and projects related to regulatory requirements.

This role offers a unique opportunity to make a significant impact in shaping our compliance strategy and ensuring that we remain ahead of the curve in terms of regulatory developments.

About the Ideal Candidate
  • Minimum 5 years' experience in the financial services business covering wholesale banking activities.
  • Broad scope of exposure to financial products, particularly derivatives products, stock loan and borrows/repos activities.
  • Ability to analyze and interpret data and information.
  • Flexible/adaptability.
  • IT literate, with a good command of the products within the Microsoft Office Suite.
About Us

At SGS Société Générale de Surveillance SA, we believe that people are drivers of change, and that the world of tomorrow will be shaped by all their initiatives, from the smallest to the most ambitious.



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