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    Regulatory Affairs Manager EMEA - London, United Kingdom - Societe Generale Corporate and Investment Banking - SGCIB

    Societe Generale Corporate and Investment Banking - SGCIB
    Societe Generale Corporate and Investment Banking - SGCIB London, United Kingdom

    3 weeks ago

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    Description

    Societe Generale is one of Europe's leading financial services groups and a major player in the economy for over 160 years, we support 25 million clients every day with more than 126,000 staff in 65 countries Our Group draws on our European roots to develop our business internationally.

    Our unique geographic positioning enables us to connect Europe and Africa with major global financial centres in Asia and the Americas.

    The Group combines financial strength, proven expertise in innovation and a sustainable growth strategy with the objective of creating value for all our stakeholders.

    We seek to be a trusted partner in the projects of those building tomorrow's world today.

    The objective of the Compliance Controls department is to assess and test independently the adequacy and effectiveness of the 1st LOD compliance risk and control framework that the Business Units (BU) and Support Units (SU) have put in place to mitigate the risks of non-compliance, reputation and misconduct that SG Group is exposed to across its business activities and operations globally.

    The Compliance Controls team in London is responsible to cover SG Wholesale Banking activities primarily in the UK for SG London Branch and SG International Limited.

    Some reviews may cover a wider geography, including France and the EMEA entities.

    The mission of the UK Compliance Controls Officer is to conduct – primarily but not exclusively - reviews of Wholesale Banking activities in EMEA.

    Maintain regular engagement and provide feedback with/to key business and Compliance stakeholders, and


    • Ensure timely implementation of internal/external audit and regulator's recommendations assigned to 2nd Level Controls team.
    Delivery of the annual review plan and reporting


    • A typical review will include planning, fieldwork and reporting phases, and will require the following:
    o Meet with business and Compliance stakeholders to understand the business and regulatory context;
    o Perform walkthrough and document business processes through the use of workflows, where required;
    o Formalise scoping document, design and execute testing programme;
    o Document review work on the appropriate 2nd Level Controls team's templates/tools and timely escalate findings;
    o Identify issues through testing and write draft findings/reports, including recommendations;

    Submit draft reports to the Manager in charge to supervise the review prior to issuance and communication to the relevant business and Compliance stakeholders.


    • Comment on key risks/issues identified and highlight any risk of slippage, or provide justification for slippage, if the original delivery schedule is not going to be met.
    Engagement with business line and Compliance stakeholders


    • Manage communication to relevant business line and Compliance stakeholders as per the review life cycle,
    • Participate in ad-hoc meetings with key business and Compliance stakeholders, as agreed with the Manager,
    • Maintain knowledge of the business line organisation as well as its strategic developments and projects, and
    • Maintain a detailed and updated working knowledge of the FCA rules and regulations and any other relevant rules and regulations in EMEA, and
    • Mentor, coach and support any 2nd Level Controls team new joiners, and when required and as directed by the Compliance Manager / Head of 2nd Level Controls team staff from regional offices.
    Strong knowledge of wholesale banking activities, especially Capital Markets and Investment Banking operations and products)


    • Working knowledge of regulations relating to financial services (FCA rules, EU directives, etc)
    • Report writing skills
    • Team player & leadership qualities
    • Minimum of 5-8 years of work experience in the financial services industry
    • Minimum 3 years of work experience executing compliance reviews or internal audit missions in a financial institution comparable to SG (preferably covering Global Markets and/or Investment Banking activities)
    • Experience of managing deadlines and time boxed projects
    • Excellent Use of IT tools, such as MS Excel, PowerPoint and Word
    • Ability to use data, manipulate information and think of innovative ideas to tests risks, controls, processes and activities.


    Bringing words like "hard work" and "dedication" together with "community" and "respect" has enabled us to work collaboratively and build our future together.

    BUSINESS INSIGHT

    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.

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