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We call this Team Spirit and it's what makes us different. It's what makes you different.
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 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
Ensure that AML and KYC policies comply with UK requirements within SG London and liaising with local AML functions to ensure consistency.
Developing, implementing and managing the anti-money laundering strategy within the UK covering anti-money laundering, terrorist financing, bribery and corruption.
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-
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.
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
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