Reference 260007I8
Responsibilities
The Regulatory and Compliance Oversight (RCO) team operates within the UK Wholesale Banking (UK WSB) perimeter (Societe Generale London Branch (SGLB) and/or Societe Generale International Limited (SGIL)). Its mandate has six core components:
- Regulatory Engagement and External Relations: manages the Compliance support and response framework to UK regulators’ requests for information, visits, thematic assessments, and enquiries ensuring appropriate engagement with internal and external stakeholders (e.g. industry bodies).
- Regulatory & Governance Liaison: acts as the central hub for the function. It supports the Head of RCO with strategic direction and supports collaboration between all functional areas and all pillars.
- Regulatory Oversight: partners with Business and Service Units to drive the regulatory watch and UK regulatory change management process for Compliance. Provides advice, training and support on the Senior Managers and Certification Regimes (SMCR) and their implementation.
- Policy & Training Development: manages the UK WSB CPLE policies, procedures and training governance and oversight frameworks. Delivers policies and training on transversal Compliance Risk topics.
- Governance & Committee Support, Strategic Projects: provides committee management support and governance reporting.
- Compliance Risk Oversight: oversees the compliance risk framework at UK WSB CPLE level including risk assessments, reviews, incidents monitoring and reporting.
The Regulatory and Compliance Oversight Associate supports the Policy, Training & Risk Oversight (PTRO) and Regulatory Oversight and Compliance Governance (ROCG) Pillar Leads in delivering the respective Pillar deliverables. The Associate acts as an operational partner to the PTRO and ROCG Pillar Lead, ensuring the smooth execution of pillar responsibilities, while also contributing flexibly to wider RCO activities when required.
The Associate enables the Pillar Leads to focus on strategic oversight, stakeholder engagement and cross‑pillar coordination by taking ownership of day‑to‑day delivery, analysis and documentation tasks within the pillars.
The key objectives and primary goals of the Associate are to:
- Assist the PTRO Pillar Lead in monitoring, coordinating and enhancing compliance risk oversight activities (risk assessments, incident and complaints monitoring, RAS/RAF updates, MI).
- Support the PTRO Pillar Lead in ensuring that there is an appropriate level of formalisation for the Head of UK Wholesale Banking Compliance to demonstrate he took reasonable steps to prevent breaches and otherwise comply with his anticipated responsibilities as a Senior Manager (SMF16 Compliance Oversight),
- Deliver operational leadership, technical expertise, and strong collaboration by escalating risks and issues within wider SG London and Group governance and management frameworks.
- Support PTRO Lead in meeting the RCO policy drafting, training creation and associated reporting deliverables.
- Support the applicability analysis and certification framework for the deployment of Group compliance normative documentation, at local entity level.
- Support the continuous alignment with UK regulatory expectations, Group normative documentation developments, and business model changes.
- Provide cross-team support, working closely with other RCO colleagues to ensure effective information flow and continuity during peak periods or resource constraints.
Required
Profile required
- Experience in a similar role within a Financial institution or, at the very least, in an organisation with a fast-paced, demanding environment.
- A sound knowledge and appreciation of legal, regulatory, and industry requirements.
- Operational skills with keen attention to detail.
- Demonstrable interest and experience in risk oversight and/or policy management.
- Some experience in policy drafting, regulatory interpretation and/or training development, or relevant transferable skills.
- A self-motivated team-player with a strong work ethic.
- The ability to deliver to high standards, take responsibility and be accountable for own actions.
- Proven technical ability to analyse raw data and utilise this to produce sophisticated reports for senior management.
- Project management capabilities; planning work, meeting deadlines, multi-tasking and excellent organizational skills.
- Excellent communication and presentation skills (both oral and written), whilst being flexible and adaptable in approach.
- Ability to appropriately prioritise tasks and to escalate issues or concerns in a timely manner.
Legal training or a professional qualification in Compliance, Finance or Accounting will also be of benefit.
Why join us
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.
Business insight
If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Société Générale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.
