Banking role of the week: Compliance Business Analyst, Trade Surveillance & Monitoring | London

Company Name: Societe Generale
Location: City of London
Job Type: Permanent

SocGen-pagethumbPeople 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.

The London ISP will be responsible for control, process and system improvement, particularly in relation to market abuse and other monitoring & surveillance related systems; acting as the business analyst and interface with representative for systems and IT issues.

Main responsibilities

Working closely with the heads of Global Monitoring and Surveillance, Investment Banking Control Room and Financial Security to ensure that London monitoring & surveillance system and process requirements are met via various projects and baseline work, liaising with the Global ISP Community where appropriate – including:

IT systems project supervisor and support

  • Advising and helping users to decide appropriate solutions to be implemented.
  • Co-ordination of the required engagement from Users in the input to the design, documentation and testing of new controls
  • Liaising with IT to investigate feasibility and costs; agreement of planning and project support
  • Update users with all system issues/impacts.

Market Abuse

  • Participating in the Governance process by attending Catalogue meetings to ensure that London bugs/enhancements (Catalogue items) are given the appropriate priority and processed accordingly
  • Administration of the Trade Surveillance Operational Committee, Supporting the Head of Global Monitoring and Surveillance as the chair of this Committee.
  • Involvement in the development/implementation of other Compliance systems, where required.


  • Gathering of requirements for new controls and enhancements.
  • Helping users understand the proper working of controls and how to improve their operation through attributes/thresholds/filters etc
  • Maintaining copies of BRDs and Functional Specifications covering all controls designed and developed in-house, including those in MUST and those using macros.
  • Liaison with external suppliers in relation to controls, thresholds and parameters, and addressing any technical issues arising

Compliance plan, regulatory knowledge and other tasks

  • Involvement where appropriate in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
  • Maintaining a detailed working knowledge of the FCA rules and regulations, and a broad awareness of AMF, ACPR, and other regulatory and exchange rules and regulations as required
  • Maintaining awareness of key EU / FCA regulatory updates and analysing their impact upon the UK monitoring controls programme
  • Participation in London and any other team meetings, as required
  • Attendance at relevant industry and trade association seminars
  • Any other tasks/projects as assigned

Candidate Profile

  • Experience of working within Investment Bank in Compliance / Trade Surveillance role
  • Experience of dealing with business requirements for new controls
  • Fluent English
  • Knowledge of French would be an advantage
  • Qualifications or able to demonstrate working knowledge of:
  • VBA Skills
  • SQL Skills
  • Business Objects
  • Analytical skills and ability to take initiative
  • Ability to work as part of various teams and under pressure

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 Societe Generale, 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 reassignment.

Industry: Banking
Start Date: ASAP
Salary: Negotiable
E-mail: [email protected]
Job Ref: 89463EB


Related Posts