Compliance Officer, Associate | London, UK | Hybrid

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Compliance Officer, Associate

SOCIETE GENERALE London, United Kingdom

Responsibilities

  1. Ensure conflicts checks are undertaken before new deals from Private side business lines, record conflicts in the management system, and notify relevant teams.
  2. Manage conflicts of interest from Private Side activities, ensuring timely resolution and reporting.
  3. Maintain Watch, Restricted, and Insider Lists in accordance with legal and policy requirements.
  4. Provide advice on Control Room Policies and Procedures.
  5. Clear Investment Research against Watch & Restricted Lists and manage conflicts of interest data for regulatory disclosures.
  6. Support Personal Account Dealing (PAD) framework, approving staff requests as per UK and EMEA policies.
  7. Support Outside Business Activity (OBA) framework, approving staff requests as per policies.
  8. Maintain Information Barrier procedures, manage Wall Crossing requests.
  9. Support the Global Insider List Tool (GILT) framework, validate requests, and respond to alerts.
  10. Complete controls for UK CR Control Framework and escalate concerns.
  11. Complete eLearning modules timely.
  12. Assist in delivering training on CR processes.
  13. Record and escalate breaches related to CR processes.
  14. Assist with shareholder disclosures under UK regulations.
  15. Coordinate with GCR teams internationally to ensure consistent approaches.
  16. Support GCR re-engineering and continuous improvement projects.

Profile required

Why join us

We offer a collaborative environment that values impact, innovation, and community. Our flat structure provides visibility and growth opportunities, fostering success through passion and open-mindedness.

Business insight

If you meet the qualifications, apply to the SG Resourcing Team. We value diversity and are committed to equal opportunity employment.

About Société Générale: A leading European financial services group with diversified banking operations.

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Location:
London, England, United Kingdom
Salary:
£100,000 - £125,000
Category:
Management & Operations

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