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Trainee - Compliance - Financial Crime (ABC & TEFO) - Others - London, United Kingdom

2 months ago

London, UK, United Kingdom SOCIETE GENERALE Full time
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 monitoring its implementation;

Defining procedures and implementing a framework to ensure effective management of compliance risks;

Awareness-raising among Group employees regarding compliance risk and 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 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 regulated employees, 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 monitoring of 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 Financial Crime Unit ("FCU") provides business management within SG London Branch ("SGLB") and SG International Ltd ("SGIL") (collectively these entities will be referred to as "SG London") with technical advice on the management of the firms' money laundering/terrorist financing, bribery and corruption ("ABC"); embargoes and sanctions ("E&S"); and Tax Evasion and Facilitation Offence ("TEFO") risk. In addition, the Unit undertakes an oversight role to assist management in the assessment of the effectiveness of the policies, procedures and controls designed to mitigate these risks.

Key purpose of the role:

To assist with the implementation and management of the anti-financial crime strategy within the UK covering anti-money laundering, terrorist financing, bribery and corruption, tax-evasion facilitation and economic sanctions;

To work with the FCU team/ABC & TEFO Officer, to maintain and further enhance SG London's financial crime compliance programme, with a focus on the anti-bribery and corruption (ABC) and tax-evasion facilitation (TEFO) control frameworks;

To act as a primary point of contact for the Front Office/Service Units, in respect of all potential bribery and corruption issues and queries, including requests for gifts and entertainment approvals, as supported and overseen by the ABC Compliance Officer for SG London;

To act as a primary point of contact for the Front Office/Service Units, in respect of all potential tax-evasion facilitation issues and queries, as supported and overseen by the TEFO Compliance Officer for SG London.

Summary of responsibilities

Assist the Head of the Financial Crime Unit/ABC & TEFO Officer, as required in respect of the oversight and management of the ABC and TEFO control frameworks;

Understand and engage in ABC and TEFO policies and the underlying frameworks, designed to ensure compliance with UK regulatory requirements and industry guidance;

Provide BAU support and assistance as required across all areas of FCU activity, with a particular focus on ABC and TEFO risk - which may involve management and completion of periodic review exercises, as well as engagement in ad hoc instances such as regulatory requests and reviews;

Managing the ABC/TEFO Team Mailboxes and maintaining the record of the advisory work delivered by the team.

Conduct monthly and quarterly monitoring and review exercises which are designed to test the effectiveness of the ABC framework and identify incidences of non-compliance and/or policy breaches. This will include executing controls that the FCU/ABC Team is responsible for;

Help provide/co-ordinate/collate the provision of Management Information on ABC and TEFO, on a monthly and quarterly basis, to a number of forums and committees;

Assist with the management of all ABC and TEFO forums and related governance, including taking meeting minutes and liaising across BU and SU stakeholders as required;

Assist and support the ABC & TEFO Officer with the provision on training sessions delivered to SG London employees. This may include both logistical support with organising training sessions, reviewing training materials and assistance with the delivery of the training;

Support the ABC and TEFO risk assessment processes, both through the design of the underlying methodologies and supporting documentation, as well as through participation in relevant workshops and the collation and review of output generated across the entities under review;

Maintain broad knowledge of ABC and TEFO legal updates, in order to ensure awareness across the FCU function;

acquire knowledge of the FCA rules and regulations, and UK AML, ABC and embargo and sanctions related legislation, and a broad awareness of AMF, ACPR and other regulatory and exchange rules and regulations as required; and

Assisting the broader FCU Team on other financial crime workstreams and projects (including AML & Sanctions & Embargoes.

Profile required

Competencies

Operational Skills

Regulatory Skills

Communication Skills

Flexibility- Adaptability

Ability to make decisions

Attention to detail

Ability to Work Under Pressure

Analytical Skills

Initiative

Leadership Qualities

Teamwork

Commercial Awareness

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: 24000KKF
Entity: SG CIB
Starting date: 2024/10/28

Publication date: 2024/09/05