Financial Crime Compliance Officer – Projects & Operations
London - Great Britain
14d ago


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Description of the Business Line or Department

Mission Statement of Compliance (CPLE) :

Build a Compliance Division recognised as a trusted, efficient and independent partner enabling a sustainable business development for the Group .

In order to achieve its mission statement, Compliance activities are supported by 10 Guiding Principles, as follows :

Build a global Compliance team operating along clear, simple and shared rules in a spirit based on openness, mutual trust and respect

Build a global Compliance Division committed to translate regulations into appropriate internal rules so that business is accountable for their implementation.

Actively promote compliance risk awareness across the bank

Build a global Compliance Division implementing an effective compliance program based on a comprehensive risk assessment and robust controls and testing framework

Build a global Compliance Division making responsive and well-informed decisions / statements in a consistent, timely and documented way

Build a global Compliance Division operating close to the BUs / SUs enabling sustainable business, with its central teams focusing on strong specific expertise and transversal supervision

Build a global Compliance Division providing Management and Board with meaningful, transparent and regular reporting and advice on Compliance risks

Build a global Compliance Division fostering trustworthy relationships with regulatory bodies based on sound, transparent and professional dialogue

Build a global Compliance Division leveraging on innovation, actively looking to benefit from new technologies and data analytics and promoting experimentation

Build a global Compliance Division composed of well trained professionals, up to date on their area of expertise, and whenever possible certified by external bodies

Build a global Compliance Division attractive to highly motivated talents with diverse backgrounds and adding strong value to their career path

Summary of the key purposes of the role

The Financial Crime Unit ( FCU’) is part of the wider Compliance function. It is responsible for providing advice and guidance to business management for the SG investment banking business in London (SG London Branch, SG International Ltd, Lyxor Asset Management UK LLP and Descartes Trading SA collectively SG London ) on the financial crimes risks faced by their business and providing an oversight function on the effectiveness of mitigation controls and processes.

The key purposes of the role are :

  • To assist with the implementation and management of the anti-financial crime strategy within the UK covering anti-money laundering, terrorist financing, bribery and corruption and economic sanctions;
  • To work with the Financial Crime Projects and Operations Manager and other members of the team to maintain and further enhance SG London’s financial crime compliance programme with particular focus on projects, risk assessment and change management.

    Summary of responsibilities

    To take responsibility for, or assist the Head of the Financial Crime Unit, in the following

  • Participate in the Group and Local Financial Crime risk assessments;
  • Co-ordinate and assist in the successful completion of local and group financial crime projects;
  • Develop and implement effective project Management Information for stakeholders including Head of Financial Crime and the Business Units we support;
  • Maintain and manage issues that contribute to the UK Financial Crime plan;
  • Support the creation and maintenance of UK / Wholesale Financial Crime and KYC policies;
  • Ensure that AML and KYC policies comply with UK requirements within SG London and liaising with local AML functions to ensure consistency.

  • In addition, to liaise with the SG Group Compliance in Paris in respect of these policies;
  • Be able to understand models impacting Financial Crime, validate and if necessary to take ownership on behalf of the UK;
  • Be proactive in improving processes and controls in relation to the UK Financial Crime framework;
  • Assist in the periodic review of countries and stock exchanges for equivalence under the UK Money Laundering Regulations;
  • Advising local and Group management on complex anti-money laundering issues;
  • Developing, implementing and managing the anti-money laundering strategy within the UK covering anti-money laundering, terrorist financing, bribery and corruption.

  • To liaise with SG Group Compliance in Paris in respect of that strategy;
  • Overseeing and, where appropriate, undertaking, the internal investigation of issues arising and suspicious activity referrals which may have money laundering implications;
  • Overseeing the processes associated with AML investigations, including the investigations action plan, follow-up of recommendations arising from investigations, and maintaining an up to date log of the status of investigations;
  • Developing, implementing and overseeing review programmes, including the monitoring and surveillance of AML within SGCIB UK, ensuring timely identification of risks and the development of cost-

  • effective and efficient counter-measures;
  • Ensuring AML, embargoes and sanctions, and bribery and corruption considerations are appropriately considered as part of the new Product Committee process, and influencing the approval or otherwise of new products from an AML perspective;
  • Implementing and maintaining appropriate management information for AML; including the completion of an annual report to senior management on the operation and effectiveness of the SGCIB UK’s AML systems and controls;
  • Developing and overseeing relevant training;
  • Maintaining a detailed working knowledge of the FCA rules and regulations, and UK AML, ABC and embargo and sanctions related legislation, and a broad awareness of AMF, ACPR and other regulatory and exchange rules and regulations as required;
  • Proposing and contributing to the promotional and remuneration prospects of Central Compliance Staff, with input to the assessments of other Compliance staff;
  • Contributing to the development of the annual department strategy and Compliance Plan;
  • Uphold the 11 FCA Principles for Business and the 7 Statements of Principle for Senior Managers in order to promote a culture of compliance and treating customers fairly within SGCIB UK;
  • Actively promote the business principles both within, and externally to, the Compliance Department;
  • Attendance at forums of, and participation in, initiatives driven forward by, trade associations and other industry bodies, ensuring that SG's views on regulatory developments which could impact on its business in the UK are provided as part of any consultation initiatives and that relevant benchmarking is undertaken and played back within Société Générale as appropriate;
  • Management of the proactive participation in the maintenance of the risk cartography, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors assessed to determine the residual risk and the actions required to further mitigate, or reduce, the regulatory risk.

    Delegated responsibilities


    Level of Autonomy and Authority

    Role involves acting with initiative and autonomy, where appropriate, ensuring proactive upward reporting of relevant issues, as well as seeking guidance and advice as required


    Project Management experience

    Risk Assessment Experience

    Communication Skills

    Flexibility- Adaptability

    Ability to make decisions

    Ability to Work Under Pressure


    In-depth working knowledge of FCA regulatory rules

    In-depth working knowledge of Financial Crime related legislation

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