Compliance Officer, Associate

Responsibilities

1. Ensure that appropriate conflicts checks are undertaken ahead of new deals from Private side business lines. Capture and record conflicts in the conflicts management system and notify relevant business lines of the results.
2. Handle conflicts of interest arising from Private Side activities promptly, in accordance with the Conflicts of Interest Policy, and report to relevant managers or IB advisors as needed.
3. Maintain Watch, Restricted, and Insider Lists, ensuring compliance with legal, regulatory, and policy considerations.
4. Provide timely advice to staff regarding Control Room Policies and Procedures.
5. Clear Investment Research against Watch & Restricted Lists to ensure legal and regulatory compliance, and update conflicts data in research systems for disclosures.
6. Support the Personal Account Dealing (PAD) framework by approving staff requests per UK and EMEA policies.
7. Support the Outside Business Activity (OBA) framework by approving staff requests per the MPC Policy in the UK.
8. Maintain Information Barrier and Wall Crossing procedures, managing requests actively and promptly.
9. Support the Global Insider List Tool (GILT) framework by validating requests and responding to alerts efficiently.
10. Assist with the UK CR Control Framework by completing controls promptly and escalating issues when necessary.
11. Complete required eLearning modules timely.
12. Assist in delivering training on CR processes to business lines and Compliance members.
13. Record and escalate breaches related to CR processes appropriately.
14. Support threshold disclosure processes to ensure timely shareholder and trade disclosures under UK law.
15. Proactively liaise with GCR teams in other locations to ensure a coordinated approach and harmonization of practices.
16. Support GCR re-engineering and continuous improvement initiatives, including COSMOS and GILT systems, and assist in strategic projects.

Profile required

• Rigor
• Teamwork capabilities
• Decision-making ability
• Flexibility and adaptability
• Ability to work under pressure
• Assertiveness
• Strong communication skills
• Influencing skills
• Initiative
• Presentation skills

Why join us

People join for the impact they can have on us. They stay for the impact we have on them. Our flatter structure offers visibility and exposure, fostering a personable and innovative environment built on community, respect, and team spirit.

Business insight

If you believe you meet the experience and qualification requirements, apply to the SG Resourcing Team. At Société Générale, we value aptitude and ability above all, regardless of background or identity.