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Description of the Business Line or Department Mission Statement of CPLE / CIB (Compliance Corporate and Investment Banking) : To enhance and maintain a robust compliance framework, in partnership with all stakeholders, to execute the firm’s strategy in accordance with its risk appetite, regulatory expectations and industry best practices .
In order to achieve its mission statement, CIB Compliance activities are centred around five key objectives, in support of senior management, business lines and resource functions, where the business lines have first level accountability and responsibility, and where CIB Compliance’s responsibility is with respect to compliance, reputational and conduct risk matters.
These five key objectives are as follows :
Providing advice and policy development
Facilitating knowledge and awareness
Undertaking monitoring and surveillance activities
Performing risk assessment, review and control activities
Managing the relations with regulators
The compliance advisor for CORI / MCIB is part of the London Global Investment Banking Compliance department under the responsibility of the Head of the Global Investment Banking Compliance (CPLE / CIB).
CPLE / CIB has three main functions :
Advisory for Private side business : including advising on deal related matters and regulatory issues, ensuring compliance with policies and procedures, training and management of reputational risks.
Control Room : includes, among others, recording and conflict clearing of upcoming private side transactions, handling of all control room processes including the sharing of confidential and inside information, the management of restricted and watch list, clearance of research, quality controls
SSD : Monitoring of positions and trade collection, Central reporting, Regulatory watch of disclosures rules
Summary of the key purposes of the role
The implementation of an effective Compliance risk management for CORI and MCIB including the evaluation of their reputational risk and the dissemination of appropriate rules of conduct.
Provide compliance support to the Corporate and Investment Banking business lines (CORI) including MCIB in conjunction with the rest of the CORI / MCIB Compliance Advisory team.
Ensuring that appropriate compliance arrangements and processes are in place, that they are operational and robust and that the CORI / MCIB Advisory team is able to provide effective and timely advice to the CORI / MCIB businesses and compliance management.
Establishment and maintenance of a constructive, open relationship and dialogue with relevant business leaders and other control and support functions as necessary and to play a full part in the management of all relevant regulatory and reputational risks.
Summary of responsibilities
Dissemination of advice, information and knowledge to CORI and MCIB staff, to ensure awareness and adherence to the all relevant regulatory developments, participating to the maintenance of a body of positions and best practices, as well as sharing experience and educating advisors and relevant BU staff on new developments, findings, activities.
Foster a culture of innovation to improve CIB processes, reporting and monitoring efficiency.
Maintain current understanding of business lines activities, practice and of relevant business environment and be conscious of forthcoming changes to this strategy which may affect the regulatory and reputational risks arising from the business including advising on compliance and regulatory aspects of new products and participating in New Products Committee.
Proactively maintain relationships and open communication with, and actively promote Compliance in front of, business lines and other control functions, providing support where necessary to address compliance requirements at earliest opportunity.
Effectively coordinate the work of the Compliance Department with other functions (e.g. audit, legal and COO...) to reinforce a strong, pro-
active and positive control environment and culture.
Ensure timely and accurate contribution of CIB Compliance to regulatory enquiries. Including liaison with the regulators such as FCA, AMF and ECB on issues arising as required.
Maintain knowledge of the European regulation, and in particular of AMF, ACP, FCA and PRA rules, and a broad awareness of and other regulatory requirements including active participation in Project Workstreams as necessary.
Attendance at relevant industry and trade association seminars, keeping abreast of compliance market practice in the industry, and performing benchmarking exercises where required.
Proactive and timely escalation of issues to the Lead Compliance Officers.
Take responsibility for the advice given concerning compliance and reputational risks arising from the introduction of new products and services or where CORI / MCIB are acting as distributor and ensure appropriate contribution from Compliance to relevant new product / service approval processes
Maintain awareness of the risks posed by the activities performed within CORI / MCIB, ensuring that the inherent regulatory risks posed by business activity are identified, along with the mitigating factors assessed to determine the residual risk and suitable actions required to further mitigate, or reduce, the regulatory risk.
Facilitate development of team staff including training new joiners and junior team members.
As a senior member of the team, maintain and encourage positive team spirit and an environment where other team members views are respected and juniors are encouraged for optimum performance
Level of Autonomy and Authority
The post holder works in collaboration with the other Advisory Team members to determine how best to deliver the responsibilities set out above, within a compliance advisory framework determined by the Head of Advisory EMEA for Global Investment Banking
Ability to make Decisions
Flexibility - Adaptability
Ability to Work Under Pressure
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 Societe Generale, 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 reassignment.