Registration Team Analyst M/F-VIE-London - Corporate and Investment Banking London - Great Britain
Description of the Business Line or Department
Mission Statement of Compliance (CPLE):
"Build a Compliance Division recognised as a trusted, efficient and independent partner enabling a sustainable business development for the Group".
In order to achieve its mission statement, Compliance activities are supported by 10 Guiding Principles, as follows:
• Build a global Compliance team operating along clear, simple and shared rules in a spirit based on openness, mutual trust and respect
• Build a global Compliance Division committed to translate regulations into appropriate internal rules so that business is accountable for their implementation. Actively promote compliance risk awareness across the bank
• Build a global Compliance Division implementing an effective compliance program based on a comprehensive risk assessment and robust controls and testing framework
• Build a global Compliance Division making responsive and well informed decisions / statements in a consistent, timely and documented way
• Build a global Compliance Division operating close to the BUs/SUs enabling sustainable business, with its central teams focusing on strong specific expertise and transversal supervision
• Build a global Compliance Division providing Management and Board with meaningful, transparent and regular reporting and advice on Compliance risks
• Build a global Compliance Division fostering trustworthy relationships with regulatory bodies based on sound, transparent and professional dialogue
• Build a global Compliance Division leveraging on innovation, actively looking to benefit from new technologies and data analytics and promoting experimentation
• Build a global Compliance Division composed of well trained professionals, up to date on their area of expertise, and whenever possible certified by external bodies
• Build a global Compliance Division attractive to highly motivated talents with diverse backgrounds and adding strong value to their career path
Certification and Registrations (CAR)
• Certification and Registrations' mission is to provide support to the various UK group entities in our scope to manage both the Senior Management, Certification and Code of Conduct Regime and the Approved Persons Regime. The team is also key in assisting with any entity transition from the Approved to the SMCR regimes.
• The team manages the regulatory registration and certification requirements for UK staff or staff acting in a regulated capacity in the UK. Summary of the key purposes of the role
• Ensure, as and when require, complete, correct, and timely staff registration submissions to the PRA and FCA, or the retention and review of adequate documentation, for staff subject to the approval / certification requirements of the UK regulatory regimes.
• Liaise with various stakeholders, including prospective SG staff in the UK and local HR.
• Develop expertise in and awareness of the requirements of the regulators, associated with these activities.
• Support regulatory changes as they arise, including the changes linked to the new PRA / FCA Senior Management and Certification regimes. Summary of responsibilities
• Ensure good processing of the regulatory registration/certification and processes for SG staff based in the UK and abroad
o Support the staff registration processes and submission to the regulators;
o Ensure appropriate controls are in place over regulatory registration and processes;
o Escalate issues and anomalies to senior member of the team and support resolution, communicating information discreetly when warranted.
o Ensure that all involved parties are aware of and act to protect the sensitive information they are privy to in the performance of their duties.
o Support the process to ensure overseas personnel visiting the UK above the regulatory thresholds are appropriately monitored and relevant parties are aware of their certification status
• Support any relevant regulatory change, including the transition of non-bank entities to the new Senior Management & Certification regimes
o Support the effort to adapt to the new Senior Management & Certification regimes and embrace changes to be implemented in managing Staff regulatory registration within the context of those new regimes.
o Build awareness of the tools used by the team.
o Suggest new operational procedures and controls subsequent to the above changes and implement ongoing tool and process improvement.
All our positions are open to people with disabilities Profile
Graduate with a Master degree from Business/Engineering school or University.
You are fluent in English and in French.
You are proficient in Office application
• Experience in an organisation with a fast-paced, demanding environment;
• Understanding of commercial organisations or prior knowledge of banking world through studies/ internship;
• Ability to review and analyse data, with a strong working knowledge of Excel;
• A sound knowledge or appreciation of legal regulatory & industry requirements;
• Excellent communication skills (both oral and written);
• High attention to details and ability to manage confidential information with rigour and precision;
• Ability to work under pressure and deliver to deadlines;
• Self-motivated with strong work ethic & desire to deliver to high standards;
• Ability to prioritise team success over individual performance;
• Flexible mindset - adaptable;
• Analytical skills. The VIE assignment in a nutshell
This VIE in London is to begin as soon as possible but you need to plan 3 months between your application date and the beginning of your VIE assignment. It will last 12 months.
The VIE is a specific contract, under Business France's eligibility criteria, opened to candidates under 28 and from the member states of the European Economic Space. For further information, please see www.civiweb.com . Evolution
To facilitate the examination of your application by our English-speaking managers, we thank you for applying in English.
At Société Générale, you will be joining the Group General Secretariat (SEGL). SEGL monitors the administrative, legal and tax compliance of the Group's businesses in France and the rest of the world, in liaison with the Central Divisions, Core Businesses and other Societe Generale group entities. It is responsible for permanent control for legal and tax risks and risks of non-compliance under the conditions set out in Directive no.86 (Compliance Monitoring). It is responsible for the Group's compliance function. It coordinates and manages Group insurance. It also supervises the development of the Corporate Social Responsibility policy within the Societe Generale group.
Job code: 190006L4
Business unit: SG CIB
Starting date: Immediate
Date of publication: 01/07/2019