Lyxor Frankfurt will be the German branch of Lyxor International Asset Management SA a subsidiary of Société Générale SA. The branch will carry out Portfolio Management, Sales & Marketing on both Passive (ETF, Structured funds) and Active products. The platform is planned to grow significantly in the next years leveraging on local expertise of the German investors.
We are looking for the support of a Senior Compliance Officer for our Lyxor Branch.
The local Lyxor Asset Management Compliance Officer monitors and reports results of the Internal Control activities within the company and provides guidance for the local staff. The Compliance Officer is authorized, as an independent body, to implement all necessary actions to ensure achievement of the objectives in a local and/or regional compliance program consistent with the business environment risks.
The Compliance Officer will also manage relationships with the 'internal customer' aiming to find compliance solutions to the business activity by setting up policies/procedures and controls. He/she will manage the relationship with the Head of Compliance for Lyxor Asset Management in Paris, will provide proper information to the governing bodies and any related function involved (mainly Business line COO of reference, Operational Risk, Internal Audit) and will manage the relations with the Regulator.
Your Main Responsibilities:
The main focus is to deliver support and advice on:
Market Integrity, Treating Customer fairly, Conflict of Interests & Insider Information, Personal code of ethics,Reputational risk, MIFID II, Second Level controls, Regulatory watch, Relation with regulators, Whistleblowing, Training, NPC
With specific regard to business activities the main tasks will be:
Identify the applicable rules on an ongoing basis
Measure / assess the impact of new relevant legislation on business processes and procedures
Verify the effectiveness of the structures, processes, procedures - including operational and commercial - to manage the compliance risks
Propose organizational and procedural changes in order to assure adequate garrisons on the identified compliance risks
Verify the effectiveness of organizational change (structures, processes, procedures also operational and commercial) recommended for the prevention of compliance risk
Managing issues related to conflicts of interests and insider information
Measuring / assessing the impact of new relevant legislation on business processes and procedures
Contributing to develop the quality/quantity of the Compliance services
Experience & Technical Skills
Degree in Law, Economics or Finance
Experience of at least 10 years gained in the Compliance department of an international renowned financial service company
Knowledge of Financial Markets and related risks with main focus on Asset Managers Institutions
Successful experience in leading negotiations on complex, high value, contracts and agreements
Good understanding and handling of related AM regulations and laws (BaFin, CSSF, AMF, FATCA, MIFID ii, ....)
Experience on marketing material (both institutional and retail)
Fluency in German, English - written and spoken - is essential; French language skills is a plus.
Personal Skills & Competencies
Excellent analytical and relationship skills
Ability to work independently and to carry out assignments to their completion, working on own initiative with stakeholder awareness and approvals
Proven ability to handle multiple tasks and changing priorities
Ability to gather information and analyze a variety of data
Ability to establish credibility quickly with the business and other internal functions
Internal Number: 5671109
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