Trade and Communication Surveillance

Permanent contract|London|Compliance

Trade and Communication Surveillance

London, United Kingdom Permanent contract Compliance

Responsibilities

Description of the Business Line or Department

The Compliance Service Unit (CPLE) is responsible for the definition and consistency of the compliance risk prevention and control system, and for coordinating the framework aimed at preventing, identifying, assessing and controlling reputational risk.

In conjunction with the Business Units and other Service Units (BU/SUs), CPLE performs the following tasks with respect to compliance risk:

  • defining and implementing the overall normative framework of the Compliance service and monitors its implementation;
  • defining procedures and implementing a framework to ensure compliance with respect to compliance risks;
  • awareness-raising among Group employees regarding compliance risk and the strengthening of the compliance culture within the Group;
  • mapping and analysing Group compliance risk and general vigilance regarding issues likely to harm the Group's reputation or that of one of its activities;
  • performing the second-level control and supervision of the framework, including independently assessing compliance risk management within the entities/activities with a major impact on the Group's risk profile, and individually with respect to regulated employees, in compliance with the applicable regulations;
  • monitoring relations with supervisory and regulatory authorities, and representing the Societe Generale Group to these authorities, not including supervisory and regulatory authorities where the Legal function (SEGL/JUR) organises and coordinates the monitoring of these relations, in particular the Autorite de Controle Prudentiel et de Resolution (ACPR) and the European Central Bank (ECB);
  • consolidating and monitoring significant compliance events in the entities 

Summary of the key purposes of the role

  • To promptly undertake Communication and Trade surveillance of key risk areas, reporting any concerns in
  • Perform investigations to support the alert analysis process and additional Thematic reviews
  • Identify requirements and lead projects relating to expansion of surveillance coverage and development of strategic solutions  
  • Identify and facilitate updates/amendments to core surveillance inputs

Summary of responsibilities

  • Whilst the role will predominantly be focussed upon the performance of Communication Surveillance, the desired hybrid capability means that the performance of additional Equity and/ or Fixed Income Trade Surveillance based activities will be required.  
  • Lead the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.        
  • Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified.
  • Represent CMS in engagements with Advisory Compliance officers and/or the Control Room on monitoring related issues as appropriate
  • Assisting in regulatory and leading internal investigations as appropriate.
  • Satisfy Audit/ Inspection requirements as required.   
  • Proactive and timely escalation of issues to management
  • Participation in departmental and team meetings, as required
  • Accurate update of inputs to various surveillance platforms
  • Attendance at relevant industry and trade association seminars
  • Identify, analyse, and communicate any impacts to surveillance activities resulting from a change to regulation and/or market/company events
  • Contribute to enhancing management reporting and metrics - supporting the surveillance and risk management programmes

Profile required

Competencies 

  • Minimum of 3 years surveillance experience, with a working knowledge of regulation and market practices relating to both Public and Private Side/ Control Room activities. Analytical approach to performed surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
  • Respect for highly sensitive nature of the role
  • Teamwork: work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements
  • Innovation: identification and project skills so to facilitate the implementation of initiatives designed to improve surveillance offering 
  • High level documentation and presentation skills
  • French and/ or Italian language skills desirable but not essential

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 identity.

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: 22000OL3
Entity: SG CIB
Starting date: 2022/11/28
Publication date: 2022/09/15
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