Compliance Officer – Advisory

2 weeks ago

London, UK, United Kingdom SOCIETE GENERALE Full time
Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge.

Research is our legacy and foundation. Our brand is defined by our Blackbooks, renowned for their in-depth quantitative forecasts and unmatched industry expertise. Our Research Analysts are thought leaders who typically have many years of direct experience in the industries they cover. Our reputation is for the very highest caliber of disciplined investment and industry analysis.

In 2019 Bernstein acquired Autonomous Research, a highly regarded global financial services independent research firm. This acquisition further strengthened us as the preeminent provider of the highest-quality research to our clients worldwide.

On April 1, 2024, AllianceBernstein and Societe Generale announced the official launch of Bernstein, a new joint venture expanding our global cash equities and equity research business. Clients now have unparalleled equity liquidity access and a full range of integrated services, leveraging Bernstein's cash equities and research capabilities and Societe Generale'sequity derivatives, prime services and equity capital markets offering.

About the team:

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.

Summary of Key Purposes of the Role:

Provision of pro-active regulatory advice and training to staff within BALLP relating to applicable regulations impacting the firm's operations - the regulatory advice is a strong component of this function. You will advise and alert business leaders on key compliance and regulatory risks affecting their business areas, offering practical, timely solutions adapted to the business context to address and mitigate these risks as well as assisting business lines in the implementation of appropriate risk management solutions.

Responsibilities:
  • Development and delivery of a proportionate Compliance control efficacy review programme
  • Leadership and coordination of a Compliance control review framework that aids in the identification of risks, controls and the efficacy of those controls to deliver an appropriate Compliance control programme.
  • Undertake business and desk reviews to maintain detailed knowledge of the operations and risks to identify effectiveness of Compliance policies, processes, training and controls and to identify recommendations for improvements and delivering on agreed actions.
  • Proactively undertake, individually and with Compliance team members, maintenance of the compliance risk framework and permanent control framework, ensuring that the inherent regulatory risks posed by the firm's operations activity are determined, the mitigating factors are considered, and further mitigants are implemented to negate the residual risk.
  • Liaise with, and where required SG, Compliance staff in Paris, New York and Asia as required, and provide guidance to Compliance colleagues on the interpretation of the FCA and EU regulatory regimes and the UK/EU based Exchange rulebooks which apply to staff based overseas who actively trade in UK/EU markets.
  • Actively support and liaise with the Compliance Monitoring Team responsible for day-to-day transaction monitoring in relation to exchange enquiries and periodic Compliance Risk desk-based reviews of the firm's Business Lines, ensuring appropriate support and guidance in the development of product knowledge within the Compliance Monitoring Team, and assisting the Monitoring Team with Desk Reviews and completion of enquiries arising from the routine monitoring.
  • Proactively identify risks and supporting controls to manage the firm's financial crime risks, support the MLRO in the performance of tasks supporting the financial crime controls within BALLP and outsourced service to SG.
  • Actively contribute to the BALLP Compliance Risk Assessment to ensure the CRA appropriately identifies the regulatory risks with BALLP.Contribute to the development and reviews supporting the Compliance Risk Assessment to evidence the Compliance Monitoring Programme.
  • Develop and deliver appropriate regulatory training for the business line using face-to-face, one-to-one and classroom methodologies, as appropriate.
  • Participate in the impact analysis of regulatory/exchange consultation documents with Compliance and Legal, communication of requirements to business line management as required, and ensuring the implementation of any developments arising within the business lines.
  • Attendance and participation in initiatives driven by trade associations and other industry bodies, ensuring that BALLP's views on regulatory developments which could impact on its business in the UK are provided as part of any consultation initiatives.


Profile required

  • Experience in Financial Markets - knowledge of cash market activities, financial crime risks and controls
  • Detailed knowledge of FCA and European regulatory requirements
  • Having a critical eye and an analytical mind is essential
  • High capacity to adapt constantly
  • Excellent communication skills, both written and verbal, confident when interacting with employees at all levels
  • Able to work with autonomy and in a proactive manner
  • Self-motivated with strong work ethic & desire to deliver to high standards
  • Project management capability; planning work, meeting deadlines, multi-tasking, excellent organizational skills

Why join us

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like "hard work" and "dedication" together with "community" and "respect" has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different

Business insight

If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Société Générale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 24000JM2
Entity: Bernstein
Starting date: 2024/10/26

Publication date: 2024/08/21

  • Compliance Advisory Officer

    2 weeks ago

    London, UK, UK, United Kingdom Lutine Bell Full time

    Lutine Bell are currently supporting a leading Financial Services Organisation looking to appoint a Compliance Advisory Officer on a permanent basis. Responsibilities:Provide regulatory guidance to all internal business areasContribute to reporting due from the Compliance team including Regulatory reportingSupport Compliance projectsAnalyse, plan and execute...

  • Compliance Advisor

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

  • Markets Compliance Advisory Officer

    2 weeks ago

    London, UK, United Kingdom TP ICAP Full time

    Title: Markets Compliance Advisory Officer Global Broking Credit and Equities Agency Execution Company Overview: The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through...

  • Markets Compliance Advisory

    1 month ago

    London,, UK, United Kingdom Danos Group Full time

    Currently recruiting for a Compliance Advisory professional to join a Tier 1 Investment Bank. The business are looking to hire an experienced, business facing compliance professional, ideally with good knowledge of FICC products. You should have worked in Investment Banking for a number of years, and have a good track record of building relationships with...

  • Compliance Advisory Consultant

    4 weeks ago

    London,, UK, United Kingdom InterQuest Group Full time

    I am currently supporting a leading digital bank in identifying a Compliance Advisory Consultant to be based in London on a hybrid working model.Responsibilties would include:Sat within the 2nd line the role holder would support the function on retail advisory related matters alongside wider compliance requirements such as SMCR, Consumer Duty and...

  • Compliance Advisory Associate

    3 weeks ago

    London,, UK, United Kingdom Eames Consulting Full time

    A leading 1 trillion AUM asset manager are looking for a compliance advisory associate to work in their London team. This role will work across the fund range (UCITS, AIF) providing ongoing advice to the portfolio teams.Desired Experience:At least 12months in an advisory focused roleExperience working with a mid-large asset management businessKnowledge of...

  • Senior Associate, Debt Advisory Group

    1 month ago

    London, UK, United Kingdom Interpath Advisory Full time

    Interpath - Who are we? Interpath has offices that span the globe with teams focused on supporting businesses, their investors and stakeholders with advisory services. Interpath proudly works with companies of all sizes, from SMEs to some of the largest organisations globally. Debt Advisory Group - Who are we? Our Debt and Capital Advisory team provides...

  • Compliance Officer

    4 weeks ago

    London, UK, UK, United Kingdom ABM Global Compliance Full time

    Develop and document AML/KYC policies and proceduresConduct audits and reviews to ensure execution of compliance standards regularlyProduce detailed reports with recommendations based on findings during audits.Communicate with clients and address any concerns they have about ethical or other compliance matters within a department or divisionProactively...

  • Compliance Officer

    3 weeks ago

    London,, UK, United Kingdom MERJE Full time

    MERJE are partnered with a leading Investment Manager who are looking for a Compliance Officer to join their fast growing and global team. Key Responsibilities: Manage a varied portfolio of regulatory compliance activities including: giving advisory opinions, providing training, developing policies and processes, approving new business initiatives, and...

  • Distribution Compliance Advisory

    3 weeks ago

    London,, UK, United Kingdom FincSelect Full time

    This reports into one of my favourite line managers!You'll be working on all the juice stuff in this role. The business is launching new private equity funds and are doing an increasing amount of work off-shore, including setting up a new office in the Middle East. With this comes a host of new regulation so we need someone very technical and confident...

  • Compliance Analyst

    2 months ago

    London,, UK, United Kingdom BGC Group Full time

    Main purpose of the Role: To conduct internal investigations when directed by Compliance management.To conduct investigations as required by external Regulatory bodies.To provide regulatory support and advice to the firms internal stakeholders.To assist the Advisory team with carrying out their day-to-day tasks Key Responsibilities:Core ActivityProvide...

  • Compliance Officer

    2 weeks ago

    London, UK, United Kingdom Investigo Full time

    A global investment bank offering wealth management, investment management, and wholesale banking are now looking to grow further with the addition of a new Compliance Officer. You role will include providing advisory support and second line challenge to the relevant Corporate Functions on: n Non-Financial Regulatory Reporting (MiFID, EMIR, SFTR, CFTC &...

  • Compliance Officer

    3 months ago

    London, UK, United Kingdom Beta Capital Management Limited Full time

    About Us: BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our operations. To strengthen our team, we are seeking a diligent and knowledgeable Compliance Officer who shares...

  • Compliance Advisory

    3 months ago

    London, UK, United Kingdom Eximius Finance Full time

    Required skills and knowledge: • A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. • An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II. • Experience of portfolio...

  • Compliance Officer

    3 months ago

    London, UK, United Kingdom One Ten Associates Full time

    We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. This role will be generalised, duties include: Provide regulatory advice to the trading teams across multiple asset classes (Equities,...

  • Compliance Manager

    6 days ago

    London, UK, United Kingdom BNY Full time

    Job Description At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our...

  • Regulatory compliance officer

    2 weeks ago

    London, UK, United Kingdom CER Financial Full time

    Regulatory compliance officer Full time/ Permanent Bank - City of London 3 days per week in office Paying up to £60,000 Day to Day Maintain a culture of compliance and ethical behaviour Proactive management of performance and targets Development of appropriate control and reporting structures, including that of segregation and resilience Open and timely...

  • Deputy Head of Compliance

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.THE RESPONSIBILITIES:Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems...

  • Compliance Advisory

    2 weeks ago

    London,, UK, United Kingdom Société Générale Full time

    Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge....

  • Regulatory Director

    1 month ago

    London,, UK, United Kingdom IGA Talent Solutions Full time

    IGA is working with an expanding consultancy seeking an experienced Regulatory Director to join their Financial Services Advisory team in London. This is a unique opportunity to play a key role in shaping and growing the business while leading a team of high-performing professionals.Role Overview:As a Regulatory Director, you will balance business...