Associate Auditor – Capital Markets

Permanent contract|London|Audit / Control / Quality

Associate Auditor – Capital Markets

London, United Kingdom Permanent contract Audit / Control / Quality


Description of The Business Line or Department

Inspection and Group Audit Division (IGAD – comprising General Inspection and Internal Audit) is responsible for Internal Audit activity for the Societe General Group.  IGAD carries out independent reviews of operational entities, aiming at ensuring in an objective, thorough and impartial manner the compliance of the Group’s operations, the level of risk incurred, the enforcement of procedures and the effectiveness and relevance of the corresponding permanent control set up.

IGAD issues recommendations in order to better manage risks and, besides, increase the efficiency of the Group’s activity. The Audit teams cover all the risks of the jurisdictions they are in charge of. General Inspection, besides audit work, develops strategic views and may conduct consulting assignments for all sectors and activities of the Group. In order to achieve their missions, both the audits and the Inspection department work together to an annual risk assessment and intervention plan. Once the assignments have been performed, the teams have to follow up on the correct implementation of the corrective actions implemented by the auditees.

The Audit teams carry out audit assignments aimed at ensuring the effectiveness of the internal control system, specifically:

-            monitoring the application of internal or external procedures and regulations;

-            assessing the security of the processing;

-            the quality of accounting and financial data; and

-            the alignment of IT systems with the needs of the entity.

Summary of the key purposes of the role

  • Complete Local or Regional or Global assignments or work with other Business Auditors for large scope audit missions, mainly as a member of assignment teams and as Head of Assignment from time to time.
  • Assist the regional Audit Management in the administration and planning of the activities of the department.
  • Perform effective recommendations follow up.

Key responsibilities 

  1. Tasks related to Audit assignments:
  • Audit assignment Planning – Participates in the  effective and efficient diagnostic work on audit
  • Audit assignment execution – Responsibility for executing assigned audit work and where delegated responsibility, ensuring that less experienced team members execute their work in accordance with Head of Assignment instructions.
  • Fully adhering to departmental assignment management requirements, e.g. Toll Gates process.
  • Audit assignment reporting - Working with the Head of assignment to deliver well written and clear audit reports (Head of Assignment has ultimate responsibility).
  1. When Head of Assignment (at the discretion of Audit Management)
  • Has responsibility for coordinating and overseeing the above tasks for their assignment and being accountable to Regional Audit Supervisors and Audit Management.
  • Managing and being responsible for the interaction of their team with Auditees.
  1. Tasks related to the Audit Department’s organisation:
  • Assist in the preparation of presentations used for various Control Committees (reports, presentations and statistics)
  • Contribute to the preparation of internal Audits annual Risk Assessment and continuous monitoring
  • From time to time Audit management may assign specific tasks related to the organization and running of the department, e.g. some projects related to various aspects of departmental efficiency and effectiveness.
  1. Proactive follow-up of outstanding audit recommendations until implementation:
    • Timely and rigorous (i.e. reviewed, validated and well-documented) follow-up of allocated audit recommendations until completion
    • Anticipation and identification of delays and issues in relation to deliverables
    • Appropriate escalation and active assistance in the resolution of issues raised during the recommendation implementation process
    • Assist and supervise more junior Auditor to ensure adequate and timely  follow-up of recommendations allocated to them
    • Reporting on recommendation follow up status to Head of Audit on a regular basis including suggestions on the  allocation of recommendations to the team member (management of team member’s workload)
  2. Quality
  • Must perform and document all aspects of audit work in accordance with set departmental quality standards.
  • When assigned responsibility for other audit staff, ensure that departmental quality standards are adhered to.
  1. Conduct and Ethical Standards:
  • Responsibility for ensuring that you are fully aware of and adhere to internal policies that relate to you, your business or other businesses for which you have any level of responsibility.  It is your responsibility to ensure compliance with operational risk or compliance requirements (e.g. security policies and regulatory requirements). 
  • Responsibility for reading, understanding and complying with the Company’s Conduct and Standards and corresponding regulations. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.
  • Act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny and professional practice standards defined by the IIA.
  • You are expected to comply with the requirements of the DCPE Handbook, DCPE UK Local policies and procedures and International Institute of Internal Auditors (IIA) Standards.
  • All audit staff are required to sign the IIA Declaration of Professional standards and Code of Ethics on an annual basis.  You sign to agree conformance to the following rules of conduct:


  • Shall perform your work with honesty, diligence, and responsibility.
  • Shall observe the law and make disclosures expected by the law and the profession.
  • Shall not knowingly be a party to any illegal activity, or engage in acts that are discreditable to the profession of internal auditing or to the organization.
  • Shall respect and contribute to the legitimate and ethical objectives of the organization.


  • Shall not participate in any activity or relationship that may impair or be presumed to impair their unbiased assessment. This participation includes those activities or relationships that may be in conflict with the interests of the organization.
  • Shall not accept anything that may impair or be presumed to impair your professional judgment.
  • Shall disclose all material facts known to you that, if not disclosed, may distort the reporting of activities under review.


  • Shall be prudent in the use and protection of information acquired in the course of your duties.
  • Shall not use information for any personal gain or in any manner that would be contrary to the law or detrimental to the legitimate and ethical objectives of the organization.

Profile required


  • Operational Skills
  • Regulatory Skills
  • Communication Skills
  • Flexibility - Adaptability
  • Ability to make decisions
  • Ability to work under pressure
  • Analytical skills
  • Initiative
  • Teamwork



•      A good degree, ideally in a financial discipline, from a top business school combined with relevant, hands-on work experience.

•      Qualified Accountant (ACA, ACCA or CPA) qualification (1st time pass)


  • Fluent written and spoken English

French an advantage, although not a necessity

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 reassignment.

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: 21000N7H
Entity: SG CIB
Starting date: immediate
Publication date: 2021/10/07