The key objective of the Compliance team within SGPB Hambros is to assess the conformity of internal codes of conduct, policies or internal procedures with legal obligations and best practices applicable to its business.
Summary of the key purposes of the role
To assist the CI Head of Compliance and other CAFC colleagues to provide guidance to management and staff of SGHCI so that the business remains compliant with all relevant regulations, legislation and best practice.
To provide backfill assistance in monitoring the effectiveness of compliance controls and regularly reporting to senior management.
To undertake all Registered Compliance Officer duties for the Guernsey Bank and Trust Company.
To assist with the management of the Compliance Officers on a day to day basis and provide support when needed.
Work with colleagues across Group offices to develop and maintain a 'good compliance culture' throughout the business.
To work with other functions to ensure that SG Kleinwort Hambros Bank (Channel Islands) Limited and SG Kleinwort Hambros Trust Company (CI) Limited are regulatory compliant.
To assist with, and provide advice and training to all staff, senior management and board directors on Regulatory matters as required.
To provide day to day counsel and advice on both SGKH Hambros policies and procedures but also on regulatory matters for the C.I. Summary of responsibilities
Provide support and guidance to all SGHCI staff in all matters of compliance regulation;
Oversee relevant new account files to ensure client take-on procedures are being met for suitability;
Escalate any identified potential weaknesses in the controls within SGHCI;
Develop and strengthen relationships with the business heads, relationship managers, operations managers and staff to promote best practice and ensure a good understanding of compliance requirements;
Identify training needs, develop appropriate tools, draft training decks and the deliver face-to-face training;
To provide all necessary guidance and support to ensure the business in the Channel Islands complies with local Compliance regulations
To assist in the production of periodic reports, on a formalised basis, or as soon as made aware if considered necessary, covering all aspects of wider Compliance/Regulatory issues .
Producing reports for the Head of CI CAFC and CI management when required;
Overseeing the completion of operational risk control assessments (OpeRA, GPS or alternates) for compliance matters;
Assessing forthcoming regulatory legislation and its impact on SGKHCI's business;
Assist with the designing and implementing a comprehensive monitoring programmes to check that business continues to be conducted in compliance with all relevant financial crime obligations;
Production of regular and ad hoc reporting to the Private Banking business line in Paris ("PRIV");
Perform all duties in accordance with the principles outlined in the SGPBH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long-term sustainability of client relationships.
Attendance at various Committees as the CI Compliance representative.
All our positions are open to people with disabilities
Individual contributor competencies as defined in the SG Leadership Model
5 years compliance experience
Experience in Private Banking/Wealth Management
Team Spirit & Collaboration
Knowledge of legal regulatory and industry requirements
Communication - written and verbal to all levels of the organisation and to external third parties including regulators and law enforcement.
Influencing -persuade and influence management and staff across SGHUK
Project Management - participate and where necessary lead/manage
Strategic & Commercial Awareness - develop and apply commercial awareness and business acumen in all day to day and longer-term tasks
Educated to tertiary level
Compliance qualification (ICSA) Languages If possible : French
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.
Environment 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.
Job code: 19000E28 Business unit: Kleinwort Hambros Starting date: Immediate Date of publication: 23/07/2019
Internal Number: 6265472
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