Compliance Coordinator

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Société Générale - UK
  • 20 Nov 17 2017-11-20

Compliance Coordinator

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 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 Compliance Management Team with diary management and coordination of team activities
• Compliance meeting coordination and preparation
• Data collection and analysis to ensure the team meet their monitoring and reporting objectives

Summary of Responsibilities

• To provide pro-active administration support to the Compliance Management team - Take telephone calls, enquiries and requests, coordinate in coming post, emails handling or referring as appropriate, writing ad hoc letters and correspondence
• Day to day diary management for the Head of Compliance primarily
• Note meeting action points for Senior Management, compliance driven committees and workshops as required.
• Meeting Follow up –communicate and follow up on action points to stakeholders.
• To undertake compliance project coordination as required, including coordination of regulatory visits, Audit reviews etc. Devise and maintain appropriate filing systems, updating and producing documents, briefing papers, prepare/update MI, reports, prepare and amend project presentations, carry out research as requested.
• To assist line management with the maintenance and revisions of Compliance policies, procedures, systems and controls to meet its regulatory obligations and requirements.
• Support and where appropriate deliver education, awareness and training to staff.
• Data and MI production and analysis as required.
• 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.



• Individual contributor competencies as defined by the SG Leadership model
• Good awareness of local compliance provisions
• Experience of diary management, work and project coordination
• Knowledge of local business, products and front office procedures
• Good awareness and understanding of control and reporting tools
• Ability to access and analyse information
• Strong MS Office Skills
• Strong stakeholder management and communication skills
• Attention to detail and focus
• Good written & communication skills
• Numeracy, drafting, minute taking and record keeping
• Team Spirit & Collaboration

Work Experience

• Wealth management/Investment or Private Banking experience is desirable


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

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.