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Compliance Officer - Regulatory SME

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

In conjunction with the Business Units and other Service Units, CPLE performs the following tasks with respect to compliance risk:

  • defining and implementing the overall normative framework of the Compliance service and monitors its implementation;
  • defining procedures and implementing a framework to ensure compliance with respect to compliance risks;
  • awareness-raising among Group employees regarding compliance risk and the strengthening of the compliance culture within the Group;
  • mapping and analysing Group compliance risk and general vigilance regarding issues likely to harm the Groups reputation or that of one of its activities;
  • performing the second-level control and supervision of the framework, including independently assessing compliance risk management within the entities/activities with a major impact on the Groups risk profile, and individually with respect to regulatedemployees, in compliance with the applicable regulations;
  • monitoring relations with supervisory and regulatory authorities, and representing the Societe Generale Group to these authorities, not including supervisory and regulatory authorities where the Legal function (SEGL/JUR) organises and coordinates the monitoringof these relations, in particular the Autorite de Controle Prudentiel et de Resolution (ACPR) and the European Central bank (ECB);
  • consolidating and monitoring significant compliance events in the entities.
Summary of the key purposes of the roleThe Swap Dealer Compliance Office is a team located in the UK and part of the Socit Gnrale London Branch team which is also functionally linked to the Wholesale Market Integrity Division in Paris.The Swap Dealer Compliance has 2 main roles:
  • Dodd-Frank Title VII (DFA): The Swap Dealer Compliance Office is responsible for the ongoing compliance oversight of the implementation and management of the Swap Dealer Compliance Program with the CFTC and the Security-Based Swap Dealer Compliance Programwith the SEC for SG entities impacted: Socit Gnrale SA (registered with both CFTC and SEC) and Socit Gnrale International Limited (registered with the SEC).
  • Other OTC derivatives regulations: The remit of the team has recently been extended to cover the OTC derivatives regulations equivalent to DFA such as EMIR, SFTR. The team will provide compliance oversight and advisory on those regulations for the UK perimeterwhile working closely within the team with DFA SMEs and Paris EMIR/SFTR SMEs.
The role holder will be primarily responsible:
  • Assist in providing regulatory advice on US/EU / UK OTC derivatives regulations (Dodd-Frank Title VII, EMIR mitigation risk techniques, EMIR margin requirements, EMIR reporting, amendments from EMIR REFIT such as FRANDT) and SFTR requirements.
  • Perform regulatory horizon scanning for EU/UK/US OTC derivatives regulations and SFTR requirements.
  • Assist in developing and drafting the compliance owned normative documentation, e-learning, live training session as well as performing on an ad-hoc basis training awareness of those regulations, or coordinate those with the Paris team to take UK divergencesin global training or framework if relevant.
  • Assist in regulatory submissions (such target population the NFA Swap Proficiency exam).
Summary of responsibilities
  • Advice, support and assist SGLB and SGIL, including compliance advisors of the various business and support functions, on matters related to OTC derivatives regulations (Dodd-Frank Title VII, EMIR, SFTR) by: (i) assist in providing compliance advice toand answer compliance queries, (ii) overseeing complaint handling investigation and resolution, (iii) reviewing marketing materials and ensuring they are compliant (when required), (v) establishing and maintaining a constructive, open relationship and dialoguewith stakeholders in business unit and support unit, (vi) participating in projects to ensure that SGLB and SGIL are prepared for any required changes as a result of new regulatory developments or UK/EU divergences.
  • Contribute to the identification of SGLB/SGIL regulatory obligations and changes to those by (i) identifying regulatory obligations related to OTC derivatives regulations (Dodd Frank Title VII, EMIR mitigation risk techniques, EMIR margin rules, EMIR reporting,amendments from EMIR REFIT such as FRANDT, SFTR reporting), (ii) analysing regulatory developments related to those regulations.
  • Contribute to the assessment of compliance risk within SGLB and SGIL by assessing the compliance risk related to OTC derivatives regulations (EMIR, SFTR on the above-mentioned requirements) as part of the annual exercise (both inherent risk and residualrisk after mitigation).
  • Raise awareness to SGLB and SGIL staff, on compliance risk by (i) communicating regulatory changes and news, (ii) designing and delivering compliance training, (iii) actively encouraging a culture of compliance.
  • Contribute to SGLB and SGIL Compliance policies and procedures framework by providing compliance expertise in the drafting of the Compliance policies and procedures following under the teams perimeter.
  • Contribute to the production of reporting for the local SGLB Management Committees and SGIL governance, including at Board level.Coordinate annual recurring processes such as Annual CFTC/SEC CCO report exercise, NFA annual membership questionnaire. </span

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