Market Equities Compliance Officer - Director / VP

Societe Generale (SG) is one of Europe’s leading financial services groups, with a strong presence in global capital markets. The firm emphasises innovation and client-centricity, a commitment to sustainability and responsible banking, a diverse and inclusive workplace culture, and global reach. The Equities (EQD) division is part of the Global Markets (MARK) business unit and belongs to the Global Markets and Investor Services Division.  The Equities Division offers a comprehensive suite of varied solutions covering the full spectrum of cash equity and derivative‑based services (both listed and OTC), equity finance, equity structured products, strategic equity transactions, and prime services activities providing market leading cross-asset solutions for institutional clients.

The main responsibilities include:

  Provision of pro-active regulatory advice and training to the equity business line and Control Functions relating to exchange and clearing house requirements, regulatory requirements and new business initiatives (new markets, new products, change in processes, etc).

·        Advise and alert business leaders on key compliance and regulatory risks affecting their business areas, offering practical, timely solutions adapted to the business context to address and mitigate these risks as well as assisting business lines in the implementation of appropriate risk management solutions.

·        Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues; and draft, update and implement compliance procedures and guidance as necessary to avoid or deal with similar situations in the future.

Given the demands of the role, the ideal candidate should have the following blend of experience, management and technical skills, and qualities:

·        Extensive business-facing, investment banking trading floor-based compliance advisory experience covering equities business lines (principally Prime Service and Equity Derivatives);

·        Excellent communication, presentation, and relationship management skills;

·        Up-to-date knowledge on MiFID 2, MAR, EMIR, Exchanges and Clearing House rules etc.

·        Flexibility and adaptability;

·        Ability to make decisions, work under time pressure and operate independently;

·        Strong technical and analytical skills;

·        Influencing skills;

·        Report-writing skills;

·        Extremely strong team working ability.

Technical compliance knowledge

1.      FCA MAR Handbook

2.      FCA COBS Handbook

3.      FCA SYSC and SUP Handbook

4.      CASS rules

5.      MIFID 2

6.      EMIR

7.      Clearing Rules

8.      Exchange rules (ICE and LME)

9.      Volker and Dodd Frank Rule

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.

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.