Communication surveillance Officer (German speaking)- CMS - Legal / Taxation / Compliance London - Great Britain
Description of the Business Line or Department
Mission Statement of Compliance:
"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 centred 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 GBS Compliance's responsibility is with respect to compliance, reputational and conduct risk matters. These five key objectives are as follows:
- 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 3 rd objective Summary of the key purposes of the role
- To actively and promptly undertake Compliance communication monitoring of key risk areas, reporting any concerns in line with set expectations
- Perform investigations as directed by management, requiring collaboration with Trade Surveillance and Advisory Compliance colleagues.
- Identify requirements and lead projects relating to expansion of surveillance coverage and development of strategic solutions
- Identify and facilitate updates/amendments to core surveillance inputs
Summary of responsibilities
- Based upon the applicants prior Markets/Compliance experience, undertake communication monitoring using the firm's oral and written communication monitoring tools as directed by team management. Investigate and escalate any resulting cases to successful conclusion.
- Support the collation and development of Management Information.
- Lead the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.
- Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified.
- Represent CMS in engagements with Advisory Compliance officers and/or the Control Room on monitoring related issues as appropriate
- Assisting in regulatory and leading internal investigations as appropriate.
- Satisfy Audit/ Inspection requirements as required.
- Proactive and timely escalation of issues to management
- Participation in departmental and team meetings, as required
- Attendance at relevant industry and trade association seminars
- Identify, analyse and communicate any impacts to surveillance activities as a result of change to regulation and/or market/company events
Level of Autonomy and Authority
The role involves autonomy on a day to day basis so to perform BAU role, with active liaison with the team management to manage priorities and as part of escalation management protocols. Whilst team management should be aware, role allows for elements of decision making in regard to surveillance priorities and approaches. Profile Required Competencies
Why Join Us
- Working knowledge of company policy, regulation and market practices
- Analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
- Respect for highly sensitive nature of the role
- Team work: work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements
- Innovation: identification and project skills so to facilitate the implementation of initiatives designed to improve surveillance offering
- High level documentation and presentation skills
- German speaker essential
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. Business Insight
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.
All our positions are open to people with disabilities
Job code: 19000R6O
Business unit: SG CIB
Starting date: 04/11/2019
Date of publication: 11/10/2019