Fixed Income Compliance Advisor, VP

SGS Société Générale de Surveillance SA; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading global financial services firm is seeking a Fixed Income Markets Compliance Advisor in London. This role involves providing compliance, regulatory, conduct, and reputational risk advice to business lines covering fixed income and working closely with Financial Crime Compliance teams. The ideal candidate will have investment banking compliance experience, strong communication skills, and up-to-date regulatory knowledge. This position offers an exciting opportunity to influence compliance culture and engage in regulatory practices.

Qualifications

• Business-facing, investment banking trading floor-based compliance advisory experience covering fixed income business lines.
• Excellent communication, presentation, and relationship management skills.
• Up-to-date knowledge on MiFID 2, MAR, FCA, PRA, FX Global Code, and other pertinent regulations.
• Flexibility and adaptability under pressure.
• Strong technical and analytical skills.

Responsibilities

• Advise business lines on compliance and reputational risks.
• Participate in annual risk assessments and ensure mitigation actions.
• Support surveillance teams with transaction monitoring and reviews.
• Maintain knowledge of market practices and compliance policies.
• Develop and deliver regulatory training for staff.

Job description

Responsibilities

Societe Generale Wholesale Banking Compliance Department is recruiting for a Fixed Income Markets Compliance Advisor role. This high profile, trading floor-based role operates in a fast-paced, dynamic environment that has exciting growth.

The Markets Compliance Advisory team are proactive in providing compliance, regulatory, conduct and reputational risk advice to business lines under their coverage. The Fixed Income Compliance Advisors cover the following business lines: credit (bonds, loans, ABS), rates, FX, corporate sales, cross-asset sales, emerging markets, secured financing/securities lending, and investment research. The Fixed Income Advisors also cover the XVA team and assist various support and operational functions with their product expertise, ensuring that the advice provided to those functions is suited to the needs of the Fixed Income business lines.

The team also works closely with colleagues in Financial Crime Compliance, the Control Room, Capital Markets Surveillance and the Global Banking Technology and Operations Compliance Teams within CPLE.

• Advise business lines on compliance, regulatory, and reputational risks, providing practical solutions.
• Stay informed on business strategy changes and their impact on regulatory risk.
• Maintain knowledge of market practices and compliance policies.
• Provide compliance guidance on new products and participate in product/change committees.
• Build strong relationships with business lines and promote compliance culture.
• Participate in annual risk assessments and ensure mitigation actions are implemented.
• Liaise with overseas teams to align on UK regulatory requirements and FCA rules.
• Support surveillance and controls teams with transaction monitoring and desk reviews.
• Assess impact of new regulations and ensure business line compliance.
• Develop and deliver regulatory training for staff.
• Engage regularly with global compliance representatives to ensure consistent practices.
• Participate in investigations and respond to regulatory enquiries and complaints.
• Contribute to compliance policy development and industry consultations.
• Communicate regulatory changes and ensure implementation within business lines.
• Escalate issues promptly to senior compliance leadership.
• Deliver items from the annual Compliance Plan relevant to the team.
• Maintain detailed knowledge of MiFID II, FCA, PRA, FX Global Code, and other regulations.
• Represent the organization in trade associations and industry forums on regulatory matters.
  

Profile required

Given the demands of the role, the ideal candidate should have the following blend of experience, skills, and qualities:

• Experience of;- business-facing, investment banking trading floor-based compliance advisory experience covering fixed income business lines (i.e. Credit, Rates, FX, etc.);
• Excellent communication, presentation, and relationship management skills;
• Up-to-date knowledge on MiFID 2, MAR, FCA, PRA, FX Global Code, FMSB Practice Standards and knowledge of other EU directives and US regulations (e.g. Volcker) relating to a fixed income markets businesses;
• Flexibility and adaptability;
• Ability to make decisions, work under time pressure and operate independently;
• Strong technical and analytical skills;
• Influencing skills;
• Report-writing skills;
• Strong team working ability.

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

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 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.