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Compliance Advisor

2 months ago

London, UK, United Kingdom SOCIETE GENERALE Full time
Responsibilities

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 monitors its implementation;

defining procedures and implementing a framework to ensure compliance with respect to compliance risks;

awareness-raising among Group employees regarding compliance risk and the 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 that of 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.

The Swap Dealer Compliance Office is a team located in the UK and part of the Société Générale London Branch team which is also functionally linked to the Wholesale Market Integrity Division in Paris.

The Swap Dealer Compliance has 2 main roles:

Ä Dodd-Frank Title VII (DFA): The Swap Dealer Compliance Office is responsible for the 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 (registered with both CFTC and SEC).

Ä Other UK regulations - EMIR & SFTR: The mandate of the team includes the compliance oversight and advisory for the European Markets Infrastructure Regulation (EMIR) and the Securities Financing Transaction reporting (SFTR). The team primarily focuses on the UK perimeter (FCA perimeter) impacting mainly Société Générale International Limited (SGIL) and works closely with the SMEs in Paris who cover ESMA EMIR/SFTR as some projects, initiatives or queries may overlap between both UK and ESMA perimeter.

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 (which incorporates the Swap Dealer Compliance Advisory team).

The Swap Dealer Compliance Advisory team has a global mandate to proactively provide compliance and regulatory advisory services to Société Générale SA, acting through 14 dealing branches, including Societe Generale London Branch ("SGLB").
The Swap Dealer Compliance Advisory team is the principal point of contact for the US Commodity Futures Trading Commission ("CFTC") and the National Futures Association ("NFA") on swap dealer-related matters, the US Securities and Exchange Commission on security-based-swap-dealer related matters and as subject matter experts in respect of the Dodd-Frank Act (Title VII) ("DFA"), as applicable.
The Swap Dealer Compliance Advisory team has a mandate to act as a compliance advisory function for UK onshoring of EMIR and SFTR.

Advice, support and assist 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 by: (i) proactively providing compliance advice to and answer compliance queries, (ii) overseeing complaint handling investigation and resolution, (iii) providing compliance opinion as part of New Product Committees, (iv) reviewing marketing materials and ensuring they are compliant (when required), (v) establishing and maintaining a constructive, open relationship and dialogue with stakeholders in business unit and support unit, (vi) participating in projects to ensure that SGLB and SGIL are prepared for any required changes as a result of new regulatory developments or UK/EU divergences, (vii) assessing the level of 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.

Contribute 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 (both inherent risk and residual risk after mitigation).

Raise awareness to SG SA, SGLB and SGIL staff, on compliance risk relating those regulations by (i) communicating regulatory changes and news, (ii) designing and delivering compliance training, (iii) actively encouraging a culture of compliance.

Contribute to SG SA, SGLB and SGIL Compliance policies and procedures framework by providing compliance expertise in the drafting of the Compliance policies and procedures relating to DFA falling under the team's perimeter.

Identify, investigate, and report compliance breaches and incidents related to the team's perimeter.

Attend and represent SG at appropriate industry working groups on regulatory development topics as appropriate for DFA, EMIR, SFTR.

Contribute to the production of reporting for the local SGLB Management Committees and SGIL governance, including at Board level.

Provide support for the preparation of the annual CCO report exercise.

Work closely with the Central team in Paris on common topics and projects related to those requirements.

Assist with regulatory enquiries from FCA, CFTC, NFA or SEC including active participation in regulatory examination.

Profile required

Minimum 5 years in the financial services business covering wholesale banking activities.

Broad scope of exposure to financial products in particular derivatives products and stock loan and borrows / repos activities

Thorough understanding of OTC derivatives regulations primarily EMIR and of the Securities Financing regulation (SFTR).

Good written and oral communication skills

Ability to work accurately under pressure

Ability to analyse and interpret data and information

Flexible/adaptability

Ability to make decisions and to demonstrate assertiveness

Ability to work on their own as well as being a team player

IT literate, with a good command of the products within the Microsoft Office Suite

Why join us

We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status".

Business insight

At Société Générale, we are convinced 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.

Whether you're joining us for a period of months, years or your entire career, together we can have a positive impact on the future. Creating, daring, innovating and taking action are part of our DNA.

If you too want to be directly involved, grow in a stimulating and caring environment, feel useful on a daily basis and develop or strengthen your expertise, you will feel right at home with us

Still hesitating?

You should know that our employees can dedicate several days per year to solidarity actions during their working hours, including sponsoring people struggling with their orientation or professional integration, participating in the financial education of young apprentices and sharing their skills with charities. There are many ways to get involved.