Technical Skills & Knowledge:
Qualifications (Experience, Education, Languages):
Employees should understand the institution’s approach to risk management and their respective roles in supporting a strong risk culture, as outlined in the SGUS Operations Enterprise Risk Management Framework.
The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management. Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations. The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations. Additionally, AML oversees key processes and risks of the KYC department.
Within Compliance, the Chief of Staff (“CoS”) team is responsible for supporting and ensuring the sustainability of the CRM Program as well as executing strategic compliance-related objectives or projects designed to enhance the Firm’s Compliance Controls. Within the CoS organization, The Compliance Governance, Reporting & Analytics team is responsible for the coordination and production of CRM reporting, the maintenance of this Framework, creation of the Annual Compliance Plan, overseeing the Compliance Issue Management Process and facilitating an effective dialogue between Compliance and the various other departments, including SGIAA, at the Firm. Additional areas of responsibility include the coordination of the Global Permanent Supervision (“GPS”) controls as well as oversight of large scale global regulatory remediation projects.