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Compliance Officer, Private Banking, Temp job

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Company Name:  Societe Generale
Country:  United Kingdom
Job Type:  Temporary

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

Description of the Business Line or Department

The key objective of the Compliance team within SGPB Hambros is to assess the conformity of internal codes of conduct, policies or internal procedures with legal obligations and best practices applicable to its business.

 

Summary

• To assist the Group Head of Compliance and other CAFC colleagues to provide guidance to management and staff of SGHUK so that the business remains compliant with all relevant regulations, legislation and best practice. 

• To assist the Group Head of Compliance in the alignment and integration of policies, procedures between SG Hambros and Kleinwort Benson as part of the merger
• To be the central point of contact for the integration of SGPBH and Kleinwort Benson in the UK for Compliance.
• To provide backfill assistance in monitoring the effectiveness of compliance controls and regularly reporting to senior management.

 

Responsibilities

Alignment and integration of policies, procedures and processes between SG Hambros and Kleinwort Benson with respect to: 

- Market Abuse Transaction monitoring systems
- Customer On boarding, risk rating and approval processes in respect of suitability
- Financial Promotion and New Product Committee oversight and testing
- Tax Compliance oversight and testing (including FATCA and CRS)
- Cross Border oversight and testing
- Compliance oversight monitoring testing (BAU)
- Management reporting
- Regulatory reporting
- MIF2 implementation
- Training (CBT & face to face)
- Suitability risk assessment processes
Training, management, co-ordination, quality control, oversight and reporting of Kleinwort Benson’s project to produce a common approach to Suitability assessment from a product and client level; Consolidated regulatory reporting in respect of Compliance close and continuous Regulatory requirements (deadline = legal integration); MIF2 harmonisation of processes, product rating etc to meet the SG deadlines in 2017.
Alignment of RRAF (suitability), KYC Memo (suitability), FATCA/CRS forms and Suitability Periodic Review processes across SG Hambros and Kleinwort Benson in conjunction with PRIV Compliance and PRIV Commercial. To include complete back book exercise over 2 years to produce a complete and consistent MIF2 compliant questionnaire for each relationship.
Provide support and guidance to all SGHUK staff in all matters of compliance regulation.
Review relevant new account files to ensure client take-on procedures are being met for suitability;
Escalate any identified potential weaknesses in the controls within SGHUK;
Develop and strengthen relationships with the business heads, relationship managers, operations managers and staff to promote best practice and ensure a good understanding of compliance requirements; 
Identify training needs, develop appropriate tools, draft training decks and the deliver face-to-face training; and
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

Competencies and Work Experience

• Individual contributor competencies as defined in the SG Leadership Model 

• 5 years compliance experience
• Experience in Private Banking/Wealth Management
• Team Spirit & Collaboration
• Knowledge of legal regulatory and industry requirements
• Communication – written and verbal to all levels of the organisation and to external third parties including regulators and law enforcement.
• Influencing –persuade and influence management and staff across SGHUK
• Project Management – participate and where necessary lead/manage
• Strategic & Commercial Awareness – develop and apply commercial awareness and business acumen in all day to day and longer term tasks

 

Qualifications

Education

Ideally:
• Educated to tertiary level
• Compliance qualification (ICSA)

 

Languages

If possible: French

 

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. 
Industry:  Banking
Duration:  London
Salary and Benefits:  Competitive
12/29/2016
Job Ref:  16000NDX
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