Offers “Société Générale”

Expires soon Société Générale

Compliance Analyst (Temporary contract)

  • Apprenticeship
  • London (Greater London)
  • Legal

Job description

Environment

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.

Mission

Description of the Business Line or Department

The Compliance function monitors and advises the business in respect of all regulatory matters, including:
• Compliance conduct of business;
• Regulatory reporting; and
• Compliance projects

Summary of the key purposes of the role

• Assist the Head of UK Compliance in providing an expert advisory and monitoring service, to enable line management to ensure that SG Hambros Bank Ltd and SG Hambros Trust Company Ltd in the UK,
• Comply with all relevant legislation, rules, regulations and codes of conduct;
• Safeguard the reputation of the SG and SG Hambros Groups

Summary of responsibilities

• A key area of the role is to assist line management to ensure that the firm establishes and maintains at all times effective systems of internal controls in order to manage and minimise the risk of losses to clients or to the business from errors, irregularities or fraud. Also to monitor all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by line management.
• To provide the business with advice and guidance on all relevant regulatory obligations and requirements both proactively and in response to queries and to identify, review and assess the impact of new national and international legislation, regulation, guidance and rules.
• To assist line management to ensure that the firm establishes and maintains appropriate, policies, procedures, systems and controls to meet its regulatory obligations and requirements.
• To undertake thematic work to assess the firms' regulatory exposure and make recommendations to the business to enable it to ensure compliance.
• To provide support to line management in its liaison with regulators, auditors (internal & external) other group companies and external organisations where appropriate. To assess the impact of audit recommendations and regulatory action and assist in their implementation. To assist line management in delivering on regulatory reporting requirements.
• Support and where appropriate deliver education, awareness and training to staff.
• To monitor the complaint handling process and undertake required investigations and ensure resolution of complaints in a timely manner.
• To provide support to line management in the assessment of new products and services and monitor and review for approval, financial promotions and other marketing material.
• To assist with the development and enhancement of the department's policies, procedures, controls and guidance.
• To undertake projects as required.
• To attend the Compliance Department meeting and other meetings and committees on behalf of or in the absence of line management as required. Any feedback / actions to be communicated to Head of UK Compliance.
• Perform all duties in accordance with the principles outlined in the SGPBH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long term sustainability of client relationships

Level of Autonomy and Authority

Expected to advise the business and make technical decisions in accordance with the bank's policies and procedures.

Desired profile

Profile

Competencies

• Individual contributor competencies as defined by the SG Leadership model
• Good understanding of local compliance provisions
• Significant Financial Services experience
• Can demonstrate significant compliance experience
• Experience of working on Compliance related projects
• Fluent English
• Knowledge of local business, products and front office
• Good knowledge and understanding of control and reporting tools
• Ability to assess and analyse information
• Attention to detail and focus
• Good written & communication skills
• Knowledge of Immune golden rules and adherence to them
• Numeracy, drafting and record keeping
• Team Spirit & Collaboration
• Good project / change management skills
• Wealth management experience is desirable

Education

• Educated to degree level desirable but not essential, minimum standard A-level or equivalent.
• Industry qualification
• Private or Investment Banking experience
• Relevant Compliance or equivalent professional qualification

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 Societe Generale, 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.

Make every future a success.
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