Compliance Officer - Communications Surveillance, Analyst

SGS Société Générale de Surveillance SA; Greater London; Hybrid; GBP 45,000 - 65,000; Full time

Job summary

SGS Société Générale de Surveillance SA in London is seeking a motivated Analyst to join our Communications Surveillance team within the Compliance function. The role offers broad exposure to surveillance across business lines and products in a global banking environment, focusing on monitoring electronic and voice communications and identifying conduct and regulatory risks.

You will work with Compliance, Front Office and control functions to investigate alerts, support regulatory enquiries, and

Qualifications

• Experience within Compliance Surveillance, Market Conduct, Trade Surveillance or Communications Surveillance.
• Understanding of market abuse risks and regulatory expectations in wholesale markets.
• Investigation experience, alert analysis and risk-based outcomes.
• Ability to manage multiple priorities with strong attention to detail.
• Analytical mindset with good problem-solving and documentation skills.
• Excellent written and verbal communication and stakeholder engagement.
• Experience interpreting regulatory requirements into surveillance outcomes.
• Proficiency with Microsoft Office and data analysis tools.
• Experience with surveillance platforms and monitoring tools.
• Knowledge of electronic communications surveillance programmes and Trade Surveillance.

Responsibilities

• Conduct communications surveillance across in-scope areas using approved platforms.
• Review alerts to identify market conduct or regulatory risks.
• Escalate high-risk activity per governance procedures.
• Maintain audit trails and support investigations and regulatory inquiries.
• Investigate surveillance alerts and prepare findings for stakeholders.
• Assist with development of new surveillance scenarios and KPIs.
• Collaborate with Compliance, Front Office and control functions across regions.

Skills

Compliance Surveillance

Market Conduct

Trade Surveillance

Communications Surveillance

Market abuse risk

Investigations

Stakeholder management

Documentation

Regulatory interpretation

Office & data tools

Tools

Microsoft Office

Data analysis tools

Job description

Responsibilities The Opportunity

We are seeking a motivated and detail-oriented Analyst to join our Communications Surveillance team in London.This role sits within the Compliance function and offers an excellent opportunity to gain broad exposure to communications surveillance across all business lines and products within a global banking environment. The successful candidate will support the monitoring and review of electronic and voice communications, helping to identify potential conduct, regulatory, and reputational risks.Working closely with colleagues across EMEA, APAC, and the Americas, the role will involve partnering with Compliance, Front Office, and other control functions to investigate alerts, support regulatory enquiries, and contribute to the ongoing enhancement of the firm’s surveillance framework. The Analyst will play an important role in the identification and escalation of potential market conduct concerns, helping to protect market integrity and support the firm’s risk management objectives.This is an excellent opportunity for an individual with an interest in Compliance, Conduct Risk, Market Abuse, Communications Surveillance, or Trade Surveillance who is looking to develop their expertise and build a career within a dynamic and global surveillance function.

About the Team

The Compliance function plays a critical role in ensuring the firm effectively manages regulatory, compliance, and reputational risks through the implementation of robust governance frameworks and controls.The Global Communications Surveillance team is responsible for monitoring employee communications across all business lines and products to identify potential conduct, market abuse, and regulatory risks. Through the delivery of a risk-based surveillance programme, the team provides independent oversight and supports the firm's commitment to maintaining the highest standards of market conduct.The team works closely with stakeholders across Compliance, Front Office, and other control functions worldwide, contributing to investigations, surveillance enhancements, and ongoing efforts to strengthen the firm’s risk and control environment.

Key Responsibilities

• Communications SurveillanceConduct communications surveillance activities across all in scope business areas using approved monitoring platforms and methodologies.
• Review and analyse alerts to identify potential market conduct, regulatory or reputational risks.
• Escalate suspicious, unusual or high-risk activity in accordance with established governance and escalation procedures.
• Maintain high-quality documentation and audit trails to support surveillance decisions and investigations.

Investigations & Regulatory Support

• Perform detailed investigations into surveillance alerts, incidents and emerging risk themes.
• Prepare investigation reports and present findings to Compliance management and key stakeholders.
• Support regulatory reporting requirements where applicable.
• Assist with internal reviews, regulatory enquiries, audits and thematic assessments.

Risk Management & Surveillance Enhancement

• Identify emerging risks, surveillance gaps and opportunities to strengthen existing controls.
• Contribute to the ongoing enhancement of surveillance methodologies, processes and technologies.
• Support the development of new surveillance scenarios, metrics, KPIs and KRIs.
• Monitor remediation actions and ensure timely resolution of identified issues.

Stakeholder Management

• Partner with Compliance, Front Office, Risk and other control functions on surveillance-related matters.
• Collaborate with global surveillance teams across London, Paris, Casablanca, APAC and the Americas to ensure consistency of approach and best practice.
• Represent the Surveillance function in relevant governance forums, stakeholder discussions and project initiatives.

Projects & Continuous Improvement

• Lead or contribute to strategic and tactical surveillance initiatives.
• Support the implementation of new regulatory requirements and surveillance capabilities.
• Participate in industry forums and market conduct discussions to understand evolving regulatory expectations and market practices.

Profile required

What We’re Looking For

• Experience within Compliance Surveillance, Market Conduct, Trade Surveillance or Communications Surveillance.
• Understanding of market abuse risks, conduct risk frameworks and regulatory expectations within wholesale financial markets.
• Experience conducting investigations, analysing alerts and assessing risk-based outcomes.
• Ability to manage multiple priorities while maintaining strong attention to detail.

• Analytical and investigative mindset with strong problem-solving capabilities.
• Excellent written and verbal communication skills.
• Ability to engage confidently with senior stakeholders across Compliance and the business.
• Strong record-keeping and documentation skills.
• Experience interpreting regulatory requirements and translating them into practical surveillance outcomes.
• Proficiency with Microsoft Office and data analysis tools.

• Experience with industry surveillance platforms and monitoring tools.
• Knowledge of electronic communications surveillance programmes.
• Exposure to Trade Surveillance frameworks.
• French language skills would be advantageous.
• Experience within a global investment banking environment.

• A strong risk and control mindset.
• Intellectual curiosity and sound judgement.
• Professional integrity and discretion when handling sensitive matters.
• Strong collaboration skills and a global team-oriented approach.
• A proactive attitude towards continuous improvement and innovation.
• The confidence to challenge appropriately and elevate issues when required.

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

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.