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.
Description of the Business Line or Department
Mission Statement of CPLE Compliance:
"To enhance and maintain a robust compliance framework, in partnership with all stakeholders, to execute the firm's strategy in accordance with its risk appetite, regulatory expectations and industry best practices".
In order to achieve its mission statement, Compliance activities are centred around five key objectives, in support of senior management, business lines and resource functions, where the business lines have first level accountability and responsibility, and where Compliance's responsibility is with respect to compliance, reputational and conduct risk matters. These five key objectives are as follows:
* Providing advice and policy development
* Facilitating knowledge and awareness
* Undertaking monitoring and surveillance activities
* Performing risk assessment, review and control activities
Managing the relations with regulators
CMS has a specific mandate within Compliance to perform the 3rd objective
Summary of the key purposes of the role
Undertake control reviews on the suite of Compliance Trade Surveillance controls covering EMEA market Act as subject matter expert and assist the Head of Core Services and Group Head of Compliance in taking responsibility for providing an expert advisory service and act as lead or co-ordinator for Compliance alongside Trade Surveillance colleagues in Paris and London, review the logic, parameters and thresholds of the current controls to identify enhancements In collaboration with Paris and colleagues across the globe, enhance the control review process to ensure it is able to identify anomalies in SG's Trade surveillance controls and help implement any identified remediation Working with Trade Surveillance colleagues, design and assist in the development of new controls Document all control reviews in line with procedures
Summary of responsibilities
Undertake control reviews of the suite of Trade Surveillance controls covering EMEA market activities Working alongside Trade Surveillance colleagues in Paris and London, review the logic, parameters and thresholds of the current controls to identify enhancements In collaboration with Paris and colleagues across the globe, enhance the control review process to ensure it is able to identify anomalies in SG's Trade surveillance controls Working with Trade Surveillance colleagues, design and assist in the development of new trade surveillance controls Document all control reviews in line with procedures Maintain and monitor a log of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified Preparation of written reports for submission to Management, Compliance Advisory Managers, and relevant Desk Head(s), as required. Liaison with Advisory Compliance Officers and/or the Control Room on trade surveillance monitoring related issues, together with appropriate Front Office employees when required. Participation in the regular risk assessment of the firm's coverage of market abuse risk through its trade surveillance programme, and participate in the mechanism to ensure risks and gaps are addressed in a timely manner Designing and developing new trade surveillance controls to ensure broad product coverage and extension of coverage of potentially abusive market behaviour, working closely with the Paris team, and others globally, on an ongoing basis in this regard. Assisting in regulatory and exchange visits and investigations, internal investigations, and other forms of review, such as those conducted by Advisory Compliance Officers, as assigned by the UK Head of CMS. Active promotion and embracing of the 'One Team' approach with trade surveillance colleagues in Paris, and proactive engagement and liaison with colleagues in other teams within CPLE\LDN\MAR\CMS globally, in relation to trade surveillance activities, as required. Maintain up to date all relevant control documentation and associated procedures. Maintaining a detailed working knowledge of the relevant UK rules and regulations, and an awareness of regulatory and exchange rules impacting the business activities being monitoring. Involvement in delivery of items in the Annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner Where required perform team permanent supervision controls Maintaining awareness of key EU / UK regulatory updates and analysing their impact upon the electronic trade surveillance monitoring programme Attendance at relevant industry and trade association seminars Providing appropriate training to CMS and CPLE where required Participation in departmental and CMS compliance team meetings, as required Any other tasks/projects as assigned.
Act with due skill, care and diligence in the performance of your role. Your actions should always satisfy a high standard of scrutiny. Maintain awareness of, and adhere to, internal policies relating to your role. Timely participation in, and completion of, applicable training initiatives
Level of Autonomy and Authority
The role involves autonomy on a day to day basis, but active liaison with the Cple\Ldn\Mar\CMS Management as appropriate Equities, Listed Derivatives, Fixed Income and Benchmarks Trade Surveillance. Paris/London consistency of approach
Management Skills Operational Skills Regulatory Skills Communication Skills Flexibility - AdaptabilityAbility to make Decisions Ability to Work Under Pressure Analytical Skills Initiative Leadership Qualities Teamwork