Compliance Trainee

Job description

Responsibilities

Description of the Business Line or Department

SG has developed a second line of defence Compliance Controls team (CPLE/CTL) with teams located worldwide. With direct reporting to the Group's General Management, the Compliance Controls team (CPLE/CTL) mandate is to operate, within the 3 lines of defence model, as a 2nd Line of Defence (LOD) Compliance Controls function covering both Regulatory and Financial Crime Compliance risks, based on a robust compliance risk assessment which drives the prioritization of the risk based annual monitoring review plan.

The objective of the 2nd level 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 (MARK, GLBA, GTPS, SGSS, GBSU, …) in the UK for SG London Branch, SG International Limited and Lyxor UK.

The Compliance Controls department includes specialised teams to cover their perimeters dedicated to cover the annual control plan for the following business activities and supporting service units:

- Global Markets (MARK),

- Lyxor UK,

- SG Securities Services (SGSS) and activities subject to FCA CASS rules,

- Global Transaction & Payment Services (GTPS),

- Private Side (GLBA) and Research (MARK/GRS) activities,

- Global Business Service Unit (GBSU),

- Other service units supporting the Business Units listed above (CPLE, RESG, SEGL, etc.).

Each team leader supervises staff who are in charge to execute the annual plan for their dedicated perimeter or specific missions defined in the annual plan.

The COO Team supports the Head of CPLE/CTL/LDN, especially producing Management Information, and liaises with the CTL COO based in Paris on monitoring priorities, budget and other transversal tasks for the Wholesale Banking perimeter in UK.

Summary of the key purposes of the role

Based in London, the trainee role is a transversal role. The primarily role is to provide active support to the UK COO and the CPLE/CTL/LDN team in matters related to reporting, coordination and change initiatives globally. Additionally, the trainee will assist the CTL UK team in recordkeeping, information gathering and support tools.

Summary of responsibilities

Reporting

- Produce Management Information packs and other key MI reports supplied to SG Group, CPLE or the business lines. Prepare ad hoc presentations and other support documents as requested within the set-up deadlines.

- Assist the COO in streamlining the production and enhance the quality of CTL reporting.

Coordination and change initiative

- Support the Global/UK COO in the execution of the department's global change management program and act as co-ordinator of key projects in which CTL is engaged. The key projects include the management of the CTL roadmap globally and participation in global compliance initiatives within the Compliance Roadmap.

- Ensure coordination of change effort when needed and proactively manage responsible parties for update on their action until completion.

- Assist in the development, implementation and maintenance of collaborative tools (for example SharePoint) used by CTL in

order to improve and optimize the way the teams work.

Miscellaneous

- Assist COO in performing the Quality Control or Quality Assurance process over reviews.

- Coordinate the collation of remedial actions and recommendations assigned to CTL (Audit, Inspection, Regulators), when required.

- Assist in the preparation and coordination of CTL annual plan which requires active liaison with compliance teams and senior management globally.

Level of Autonomy and Authority

This role provides the individual the necessary autonomy under BAU with supervision and direction from the COO.

Profile required

Competencies

- You are graduated with a Master degree from Engineering or Business School or University with general knowledge of Compliance and Regulatory risk

- You are proficient in Microsoft Office applications such as Excel, PowerPoint, SharePoint, Word, etc.

- You are fluent in English

- French is preferred but not mandatory

- Project management capability; planning work, meeting deadlines, multi-tasking, excellent organizational skills

- Effective verbal and written communication skills to confidently interact with colleagues at all level of seniority

- Strong analytical and problem-solving skills to analysis the data, produce meaningful MI, navigate and influence, ability to prepare presentations and produce reports effectively in a timely manner

- Proactive in managing and completing routine tasks

- Teamwork

- Time management

- Flexibility/adaptability

Why join us

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.

Business insight

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 reassignment

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents , regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 20000PRC
Entity: SG CIB
Starting date: 2021/01/18
Publication date: 2020/12/01