Capital Markets Surveillance Officer

Job description

Responsibilities

As team member of the new EMEA CMS hub in Casablanca, your responsibilities will be :

· 
Undertake :

- Communication Surveillance using the firm's oral and written communication monitoring tools as directed by management

OR

- Trade Surveillance using the firm's monitoring tools as directed by management.

· 
Support the collation and development of Management Information.

· 
Support the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.

· 
Maintain and monitor a referential of remedial actions/recommendations arising from :

- communication monitoring

OR

- trade monitoring and ensure timely satisfactory resolution of issues identified.

· 
Liaison with other EMEA CMS surveillance team members

· 
Liaison with Advisory Compliance officers and other key stakeholders and synergies regarding key topics

· 
Assisting in regulatory and internal investigations as appropriate.

· 
Maintain up to date policies and procedures supporting the performance of the local and EMEA CMS teams

· 
Proactive and timely escalation of issues to management

· 
Maintaining awareness of key EU / FCA regulatory rules and updates and where applicable transposing them into the : communication surveillance program OR trade surveillance program

Profile Required

Technical experience :

·  0-5 years relevant experience or qualifications
·  Fluent in French and English
·  A generalist understanding of how private and public sides of the Financial Industry operate would be advantageous
·  Highly analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritize multiple review requirements.
·  Respect for highly sensitive information
·  Good report writing, verbal and presentation skills

Other skills :

·  A keenness to work in a regulatory risk management department.
·  A keen interest and good understanding of existing and new technology
·  A quick learner – keen to understand regulation, markets and internal/external technology solutions
·  A team player.
·  Someone with an innovative mindset – who can think ‘outside of the box' but collectively, understands standard BAU.

Business Insight

Capital Markets Surveillance (“CMS”) is a global function forming part of the Global Compliance (CPLE) Department.

The mission Statement of CPLE :

“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, Compliance activities are centered 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 Compliance's responsibility is with respect to compliance and conduct risk matters. These five key objectives are as follow :

· 
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

CMS has a specific mandate within Compliance to perform the 3rd objective.

The position is located at 'Société Générale Africa Technologies and Services (SG ATS)', in Casablanca.

« Les informations recueillies sur ce site font l'objet d'un traitement destiné à répondre aux besoins de recrutement de la société SG ATS. Ces données sont traitées par les services internes de la société. Conformément à la loi n° 09-08 promulguée par le Dahir 1-09-15 du 18 février 2009, relative à la protection des personnes physiques à l'égard du traitement des données à caractère personnel, vous bénéficiez d'un droit d'accès et de rectification aux informations qui vous concernent, que vous pouvez exercer en vous adressant à donnees-personnelles.sgats@sgcib.com .Vous pouvez également, pour des motifs légitimes, vous opposer à ce que les données qui vous concernent fassent l'objet d'un traitement. Ces données peuvent faire l'objet d'un transfert à l'étranger. Ces traitements ont été notifiés et autorisés par la CNDP sous les numéros A-RH-354/2016 et T-RH-129/2016.

En postulant à cette annonce, vous confirmez avoir lu et vous acceptez la mention ci-dessus relative à la protection des données personnelles. »

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.

Job code: 20000LHT
Business unit: SG CIB
Starting date: Immediate
Date of publication: 01/10/2020