Regulatory Compliance Expert

3 weeks ago

London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full time
Key Responsibilities

The Compliance Service Unit (CPLE) is responsible for defining and maintaining the compliance risk prevention and control system. In conjunction with the Business Units and other Service Units, CPLE performs tasks related to compliance risk, including defining the normative framework and monitoring its implementation, ensuring compliance with respect to compliance risks, and raising awareness among Group employees.

The Swap Dealer Compliance Office is a team located in the UK and part of the Société Générale London Branch team, which is functionally linked to the Wholesale Market Integrity Division in Paris. The team is responsible for ongoing compliance oversight of the implementation and management of the Swap Dealer Compliance Program with the CFTC Swap Dealer and the SEC Security-Based Swap Dealer Compliance Program for Société Générale SA.

The role holder acts primarily as a regulatory SME for DFA, UK EMIR, and UK SFTR perimeter and reports to the UK head of the GBT CPLE Advisory team. The role requires providing compliance advice, support, and assistance to SGLB and SGIL, including compliance advisors of the various business and support functions, on matters related to DFA Title VII, UK EMIR, and UK SFTR.

The role involves proactive provision of compliance advice, overseeing complaint handling investigations and resolutions, providing compliance opinions as part of New Product Committees, reviewing marketing materials to ensure compliance, and establishing and maintaining a constructive relationship with stakeholders in business units and support units.

The role also involves participating in projects to ensure that SGLB and SGIL are prepared for changes resulting from new regulatory developments or UK/EU divergences, assessing regulatory and reputational risks associated with SGLB/SGIL transactions, projects, or products, and escalating to the appropriate governance for decision-making in accordance with the risk-based approach set out in the policies.

Additionally, the role requires contributing to the assessment of compliance risk within SG SA/SGLB for DFA Title VII requirements and SGIL for UK EMIR/SFTR rules as part of the annual exercise, raising awareness to SG SA, SGLB, and SGIL staff on compliance risk relating to those regulations, and communicating regulatory changes and news.

The role also involves contributing to SG SA, SGLB, and SGIL Compliance policies and procedures framework by providing compliance expertise in the drafting of Compliance policies and procedures relating to DFA falling under the team's perimeter, identifying, investigating, and reporting compliance breaches and incidents related to the team's perimeter, and attending and representing SG at appropriate industry working groups on regulatory development topics.

Finally, the role requires contributing to the production of reporting for the local SGLB Management Committees and SGIL governance, including at Board level, and providing support for the preparation of the annual CCO report exercise.

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