Senior Compliance Officer – Global Markets Advisory

Responsibilities
Société Générale Frankfurt Branch is active in wholesale banking. As part of the local Compliance team you are the lead and main point of contact for Global Markets senior management. 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 address regulatory compliance matters and risks across the entire organization.
• 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 and other business units and support functions when needed.
• 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.
• Monitor applicable regulatory developments impacting the branch business and assess local implementation needs.
• Advise on compliance and regulatory aspects of new products.
• Adapt and deploy 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.
• Support the Chief Compliance Officer in performing 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.
• Maintain contact with regulators and market authorities, including but not limited in the context of regulatory audits and perform and participate to regulatory reporting requirements to German authorities where applicable, under supervision of the Chief Compliance Officer.
• Ensure 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.
• Work in close cooperation with all local compliance team members and maintain an active engagement and liaison with other compliance teams, ensuring appropriate support and guidance (trade and communication surveillance, financial crime, etc …).
• Support the Chief Compliance Officer in facilitating development of team staff.

Profile required

• Apprenticeship / university degree in banking activities with qualification in compliance related topics, and/or Legal qualification
• At least 10 years of experience in a similar role in a Bank/Financial Institution
• Experience in BaFin interactions is required
• Sound knowledge and appreciation of legal, regulatory and industry requirements, and in particular deep knowledge and strong expertise of Global Market 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 autonomously 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

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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.