Description of the Business Line or Department
The key objective of the Compliance team within SGKHCI is to ensure that the Registered Person complies fully with all its legal and regulatory obligations relating to Financial Services and AML/CFT. Primary focus will be on regulatory compliance assessing the conformity of Laws, Regulations together with internal code of conduct, policies and procedures applicable to its business.
Summary of the key purposes of the role
Support the Registered Compliance Officer for the Jersey Bank and act as Deputy in periods of absence
Assist other Seniors of the CI CAFC Team on specific Compliance related requests
Provide a pro-active and innovative approach to risk management in an evolving regulatory environment.
To assist the Compliance Officer and CI Head of Compliance and other CAFC colleagues to provide guidance to management and staff of SGKHCI so that the business remains compliant with all relevant regulations, legislation and best practice guidance.
Implementing and maintaining internal controls, policies and procedures pertaining to the Compliance function
To be the central point of contact for the SG Kleinwort Hambros Bank (CI) Limited in respect of compliance advice.
To provide backfill assistance in monitoring the effectiveness of compliance controls and regularly reporting to senior management.
Work with colleagues across Group offices to develop and maintain a ‘good compliance culture’ throughout the business.
To work with other functions to ensure that SG Kleinwort Hambros Bank (CI) Limited is regulatory compliant.
Assist and provide ad hoc guidance and training to all staff, senior management and board directors on Regulatory matters as required.
To provide day to day counsel and advice on both SGKH policies and procedures but also on regulatory matters for the C.I.
To participate in various projects including, providing strategic guidance, research, devising policies and procedures
Summary of responsibilities
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, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.