Compliance Officer (m/f/d)

Permanent contract|Frankfurt am Main|Compliance

Compliance Officer (m/f/d)

Frankfurt am Main, Germany Permanent contract Compliance


As a member of the Compliance team, you are involved in all tasks relating to the Securities activities through the Security Services business unit in the SG Frankfurt branch. You ensure the adherence to and the deployment of regulations as well as the rules of the Société Générale group within the businesses 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”).

Your tasks and responsibilities encompass among 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,
  • Complete gap analysis on (new) regulatory requirements,
  • Support and advise SGSS on compliance related topics with their projects or ad hoc requests by formalizing opinions, and support in the implementation, both at the level of the Business Line and at the level of SGSS Compliance,
  • Provide advice to LoD1 locally and LoD2 centrally, regarding regulatory requirements and their implementation and application, also regarding market integrity, fight against corruption, conducts and ethics and tax transparency
  • 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 (incl. desk reviews),
  • Contribute to the various committees, locally and centrally,
  • Establish and further develop regular and appropriate reporting to local stakeholders and to the Compliance central team,
  • Organise and conduct classroom trainings (face-to-face and video conference) and e-learnings, where required.

Besides this, you will also be involved in general Financial Crime Unit tasks like control actions, preparation of reports and risk analysis.

Profile required

Experience and technical skills:

  • Apprenticeship/ university degree in finance or economics with qualification in Compliance related topics, and/or a Legal qualification.
  • At least 3-5 years of experience in a similar role in a depositary or capital management company.
  • Fluency in both German & English (written and oral) is required; French language skills would be of advantage.
  • Strong expertise on the relevant national and international laws and regulations and the relevant market practise.
  • Ability to read and understand legal documents, e.g. laws and regulations, in German and English.
  • Capacity to analyse and summarize.
  • 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.
  • Resilient, self-managing and highly organized with a quality and delivery mind set.
  • Cooperation & team spirit.
  • Excellent communication and presentations skills, both written and oral.
  • Ability to work in an international setting.
  • Ability to meet tight deadlines, while by being structured and paying attention to details.
  • Being motivated and reliable

Why join us

Does this position sound interesting for you? Join us!

Please apply with your CV, a cover letter and all educational and work certificates.

Business insight

As part of the Compliance team, you will be involved in all relevant Compliance tasks of the SGSS activities in the branch and work in close co-operation with relevant stakeholders of the first line of defence, as well as the central teams in Paris.

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: 2200016N
Entity: SG CIB
Starting date: 2022/03/01
Publication date: 2022/01/12