Compliance Officer – Global Markets Advisory (m/f/d)

Responsibilities

Société Générale Frankfurt Branch is active in wholesale banking. As part of the local Compliance team, your main responsibilities are:

• To provide compliance advice to local Global Markets (MARK) activities, encompassing a wide range of asset classes, from fixed income and currencies to equities. The bulk of these activities concern equity, equity derivatives and structured products trading, engineering, and sales.
• To actively contribute to the implementation, steering, and adaptation of the compliance risk culture and control framework of the activities of the branch, in accordance with Société Générale Group requirements and relevant local regulations.
• Maintain relationships and open communication with, and actively promote compliance in front of, business lines and other departments, providing support where necessary to address compliance requirements at the earliest opportunity.
• Provide compliance and regulatory advice to the Global Markets business line.
• Maintain proactive dialogue with the respective Global Markets compliance officers in the head office to ensure appropriate engagement on issues impacting compliance and the business lines beyond the local perimeter, ensuring a consistent approach to the resolution of issues arising.
• Contribute to the monitoring of applicable regulatory developments impacting the branch business and assess local implementation needs.
• Advise on compliance and regulatory aspects of new products.
• Contribute to the adaptation and deployment of group policies, definition / updates of local compliance procedures.
• Contribute to the implementation of an adequate monitoring, surveillance and control framework to prevent and/or detect compliance and reputational risks, through the application of the SG Group’s permanent / managerial control framework and through local operational controls where relevant to complement the Group’s framework.
• Contribute to identification and management of incidents.
• Contribute to the oversight and reporting requirements, in accordance with local and central compliance governance.
• Perform and participate in the SG compliance risk assessment and in the monitoring of related action plan under local Compliance’s responsibility.
• Develop and deliver appropriate regular general trainings (e.g. for new joiners in the Branch) and specific compliance class trainings.
• Contribute to the regulatory audits and the reporting requirements to German authorities where applicable, under supervision of the Chief Compliance Officer.
• Support timely and accurate responses to regulatory enquiries as well as internal control and audit teams and implement relevant resulting actions under the local compliance’s responsibility.

Profile required

Apprenticeship / university degree in banking activities with qualification in Compliance related topics, and/or Legal qualification
At least 5 years of experience in a similar role in a Bank/Financial Institution
Good level of knowledge and expertise of Global Markets activities and of the respective regulations including the transparency directive; MAD II/MAR; MIFID II/MIFIR and where applicable German regulations
Fluency in both German & English (written and oral) is required; French language skills would be of advantage
Capacity to analyze and summarize
Strong skills in working in a structured way
Strong ability of assessing risks and procedures at all levels
Good MS Office skills (e.g. Word, Excel, Outlook, PowerPoint)
Self-motivated with strong work ethic and desire to deliver to high standards.
Excellent communication skills, both written and oral
Ability to work with different business lines and locations
Independent and organized working style
Cooperation & team spirit
Ability to work under pressure

Business insight

Société Générale is a leading European bank with over 119,000 employees serving around 26 million customers in 62 countries worldwide. For 160 years, SG Group has been supporting the development of the economy and offering companies, institutional investors and private clients a wide range of advisory and financial solutions with real added value for clients. Global Banking & Investor Solutions, a pre-eminent wholesale bank, combines tailor-made solutions with leadership in equity derivatives, structured finance and ESG.

Diversity and Inclusion

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.