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.
Description of the Business Line or Department -
The Swap Dealer Compliance Office is responsible for the ongoing, global implementation and management of the Swap Dealer Compliance Program for both SG Group Swap Dealers. The Swap Dealer Compliance Program is a distinct, but integrated part of the SG Compliance Regulatory Expertise and Oversight – Market Rules and Structure department.
Summary of the key purposes of the role
• Participate in the ongoing implementation of Dodd-Frank Act (Title VII) Program at SG as a Compliance representative
• Support Swap Dealer Controls Framework
• Assist in Swap Dealer Policy/Procedure maintenance
Summary of responsibilities
Assist in the continual development and implementation of relevant Swap Dealer Manuals, policies and procedures, ensuring that they are reasonably designed to ensure compliance with the requirements of Title VII of the Dodd-Frank Act (“DFA”)
Contribute to ongoing firm-wide regulatory change programs/workstreams, in particular in respect of new regulations implementing DFA requirements or modifying existing requirements
Carry out controls owned by Compliance within the DFA Controls Framework, as well as periodic verification check testing
Provide ongoing support to the Swap Dealer Compliance Office team, including:
Support implementation of changes to the Swap Dealer Compliance Program, relevant
Swap Dealer Manuals, policies and procedures on an ongoing basis
Collaborate with Compliance review teams and other internal control functions to
evaluate, test and monitor the effectiveness of policies, procedures and controls for SG
Group Swap Dealers, as appropriate
Assist in the annual risk assessment process
Attend industry calls/working groups on behalf of the team
Work with Compliance colleagues on the development and coordination of ongoing training to employees on requirements impacting SG Group Swap Dealers
Contribute to the preparation of such periodic reports that the firm or Compliance
management must make, either to Swap Dealer governing bodies or relevant
Level of Autonomy and Authority
The role involves some autonomy on a day to day basis, with active liaison with other members of the Swap Dealer Compliance team depending on the task.