Compliance Officer Depositary Business (m/f/d)

Permanent contract|Frankfurt am Main|Corporate & Investment banking

Compliance Officer Depositary Business (m/f/d)

Frankfurt am Main, Germany Permanent contract Corporate & Investment banking

Ihre aufgaben

As part of the Global Markets Compliance Advisory Team, you will focus on providing proactive real-time compliance and regulatory advice to the depositary business unit, thereby working in close co-operation with them. Your tasks and responsibilities encompass amongst others the following:

  • Identify and monitor the regulatory risks / requirements of the depositary perimeter while defining the means necessary for their supervision by LoD 1 and LoD 2.
  • Support and advise the business unit on compliance related topics on their projects or ad hoc requests by formalizing opinions, and support in the implementation.
  • Provide advice to LoD1 locally and LoD2 centrally, regarding regulatory requirements and their implementation and application. 
  • Monitor and provide input to the Group's regulatory projects.
  • Deploy measures adapted to the development of the compliance culture within the business lines (procedures, memos, specific training, regular points, etc.).
  • Validate new products and services requiring a compliance notice (NPC).
  • Perform and develop the internal control framework to address the identified compliance risks (including desk reviews).
  • Contribute to the various committees, locally and centrally.
  • Maintain contact with regulators and market authorities.
  • Establish and further develop regular and appropriate reporting to local stakeholders and to the central Compliance team.
  • Organise and conduct classroom trainings (face-to-face and video conference) and e-learnings, where required.

Ihr profil

Experience and technical skills

  • Master’s degree in law, business administration, banking or financial markets. 
  • At least 2 years of experience in a Compliance, Legal or Regulatory position in a Bank/Financial Institution.
  • Knowledge on the regulatory framework of the depositary business is an advantage.
  • Deep knowledge of the applicable regulatory framework and its German implementation into local law (WpHG, MiFID II, MAR etc.).
  • Fluency in both German & English (written and oral) is required; French language skills would be of advantage. 
  • Good MS Office skills (like Word, Excel, Outlook, PowerPoint).

Personal abilities/ competencies

  • Ability to quickly understand the bank’s strategy, its organization, the products, and management of Compliance risks, as well as respective laws and regulations.
  • Excellent communication skills, both written and oral.
  • Strong problem-solving skills and the ability to address conflicts and difficult issues in a professional and proactive manner.
  • Good presentation skills.
  • Ability to work with different business lines and locations.
  • Independent and organized working approach.
  • Cooperation & team spirit .
  • Ability to work under pressure all by being structured and accurate.
  • Being motivated and reliable.

Was wir bieten

Societe Generale is one of the leading European financial services groups. Based on a diversified and integrated banking model, the Group combines financial strength and proven expertise in innovation with a strategy of sustainable growth, aiming to be the trusted partner for its clients, committed to the positive transformations of society and the economy. With a solid position in Europe and connected to the rest of the world, Societe Generale has over 133,000 members of staff in 61 countries and supports on a daily basis 30 million individual clients, businesses and institutional investors around the world.

If you feel you have the required experience and qualifications, thrive on a challenge, and want to become part of a dedicated and driven team that strives for success, then please apply with a CV, cover letter, certificates and reference letters.

Ihr umfeld

As a member of the Global Markets Compliance Advisory Team, you will be particularly involved in all compliance related tasks of the depositary business (Verwahrstellengeschäft) in SG Frankfurt branch. Your role is to ensure the adherence to and the deployment of regulations as well as the rules of the Société Générale group within the business concerned. Besides the knowledge on European regulation, you will have to ensure the compliance with local regulations, such as the capital investment code (“KAGB”), the securities trading act (“WpHG”) and other rules & regulations applicable to a local depositary (“Verwahrstelle”).

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: 22000QEO
Entity: SG CIB
Starting date: immediate
Publication date: 2022/09/19