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

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.