Compliance Officer, Capital Markets Surveillance COO
- London, England, United Kingdom London England GB
- Permanent, Full time
- Société Générale - UK
- 13 Jul 18 2018-07-13
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.
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
Within CPLE, the Compliance division of the SG group, CPLE/MAR adresses surveillance of MARKET activities.
CPLE/MAR Capital Markets Surveillance team is the compliance department in charge of the surveillance of Investment bank market activity including automated monitoring of transactions and communications.
The Capital Market Suveillance team is composed of 65 people across 6 locations (London, Paris, New York, Chicago, Hong Kong and Tokyo)
Summary of the key purposes of the role
1/ Monitoring and communication function
The COO function supports the management of CMS by providing global reporting on the activity, allowing the management to monitor and steer the activity. The COO function also ensures that CMS complies with all rules and policies defined by CPLE division.
The COO also assists the management to communicate on the team role and scope, and promote the team achievements within the CPLE organisation and towards BL and other divisions.
2/ Change enabler function
The COO function also aims at fostering a culture of continuous improvement within the team and act as an agent of change. The COO function ensures that all CMS transversal processes are streamlined and efficient. On request, the COO team can also assist the Trade and Communications surveillance management to improve their processes, ensure smooth roll out of new tools, contribute to re-organization of an activity.
The COO function also provides the team all transversal means to work efficiently (access to documentation, up to date referentials, etc., promote collaborative tools, and encourage industry watch sharing within CMS.
3/ Research and Development
The COO is also in charge of promoting awareness and understanding of new technologies within the team. The COO function drives the analysis and implementation of new technologies like Robotic Process Automation, Big Data, Business intelligence, and Machine Learning within CMS
Summary of responsibilities
1/ Monitoring and communication
The Compliance Officer CMS COO contributes to the production of the reporting Management Information pack as well as all other monthly and quarterly reportings, maintain the CMS roadmap, audit points log, escalations log, Report on the permanent supervision, headcount, budget, etc.
The COO team member also contributes to communication materials,
2/ Change enabler function
The COO team member contributes proactively to CMS global continuous improvement through initiatives on streamlining the organisation, harmonisation of transversal processes, simplification, etc. The COO team member also promotes collaborative tools and works to reinforce international communication within CMS and harmonization of practices.
The COO team member may be asked to contribute to projects, during design phase as product owner or champion, contribute or organize user acceptance tests, or during roll out phase, on training, organisation and change management topics.
3/ Research and Development
The COO team member may have to organise and deliver R&D initiatives, such as Robotic process automation, Big data Business intelligence, and Machine learning, including raising awareness, helping the team raising use cases and setting up the initiative and resources capable of delivering those use cases.
Level of Autonomy and Authority
The role involves autonomy and requires enough seniority and initiative, capacity to self-organise, define priorities, deliver proactively, report and escalate to the management and propose solutions to issues encountered.
CompetenciesPrevious experience within Compliance
Previous experience with IT projects and organisation
Previous experience within SG, especially the Investment bank, Market Risks, control functions
Reporting experience (BI Tableau or Spotfire is appreciated)
Project management basic skills (small projects)
Change management skills :
Capacity to build and deliver Communication
Organisation skills (Lean, 6-Sigma green belt , BPM, Agile or Kanban practice or equivalent is appreciated)
Capacity to build and deliver Training
Capacity to listen to the team, appetite for identification of continuous improvement
Negociation skills / consensual
Previous experience with working in virtual global teams / international experience appreciated
Inclination towards new technologies
Supportive of collaborative tools
Appetite for IT knowledge / understanding of IT stakes around RPA / Big data
Appetite for VBA, Python, R is also appreciated