Senior Compliance Officer - Global Markets Advisory (m/f/d)
This role offers a unique opportunity to combine legal and regulatory expertise with close business interaction, providing pragmatic, legally sound and commercially aware Compliance guidance across the MARK platform. In this role you will advise local Global Markets activities across a broad range of asset classes, including:
fixed income;
currencies;
equities;
equity derivatives; and
structured products,
with a strong focus on trading, engineering and sales activities.
Beyond day-to-day advisory, you will address regulatory Compliance matters and risks across the Branch and actively contribute to the implementation, steering and continuous enhancement of the Compliance risk culture and control framework, in line with Societe Generale Group requirements and applicable local regulations.
The position offers broad exposure to the strategy, products and processes of a leading international wholesale banking platform, close interaction with the management of the relevant business areas. It provides the opportunity to further develop your expertise, gain insights into different areas of the bank, and contribute directly to the company's ambitious growth journey while supporting a robust, effective and sustainable Compliance framework.
This role reports directly into the local Chief Compliance Officer.
Main Responsibilities
Act as a trusted Compliance partner to Global Markets and other relevant business lines, maintaining strong relationships, open communication and early engagement on Compliance requirements.
Provide pragmatic, risk-based and legally sound Compliance advice to the Global Markets business line, as well as to other business units and support functions where required.
Maintain proactive dialogue with Global Markets Compliance officers and other Risk functions at Head Office, ensuring appropriate engagement on matters affecting Compliance and business activities beyond the local perimeter, and supporting a consistent approach to issue resolution.
Monitor relevant regulatory developments impacting the Branch business and assess the need for local implementation, adaptation or remediation.
Advise on Compliance and regulatory aspects of new products, business initiatives and related processes.
Adapt, deploy and maintain Group policies and local Compliance procedures, ensuring alignment with Societe Generale Group requirements and applicable local regulations.
Contribute to the design and implementation of an effective monitoring, surveillance and control framework to prevent and/or detect Compliance and reputational risks, applying the SG Group permanent and managerial control framework and, where relevant, complementary local controls.
Contribute to the identification, reporting and management of incidents, including advising senior management on enhancement opportunities and practical remediation measures.
Use innovative techniques, including AI where appropriate and permitted, to enhance efficiency in Branch-related processes and proactively support the development of effective and modern approaches to risk management.
Support the Chief Compliance Officer in performing oversight, governance and reporting responsibilities in accordance with local and central Compliance requirements.
Perform, drive, participate in SG Compliance risk assessments and monitor related action plans under local Compliance responsibility.
Develop and deliver regular Compliance trainings, including onboarding sessions for new joiners in the Branch and tailored Compliance trainings for specific business or regulatory topics.
Maintain contact with regulators and market authorities where applicable, including in the context of regulatory audits, supervisory requests and regulatory reporting to German authorities, under the supervision of the Chief Compliance Officer.
Ensure timely, accurate and well-founded responses to regulatory enquiries, internal control teams and auditors, and support the implementation of resulting actions under local Compliance responsibility.
Work closely with all local Compliance team members and maintain active engagement with other Compliance teams, including trade surveillance, communication surveillance, financial crime and other relevant control functions.
Support the Chief Compliance Officer in the development of team members, including knowledge sharing, coordination and contribution to a strong and resilient local Compliance set-up.
Experience and technical skills
Strong academic or professional foundation in banking, finance or preferably law or a comparable field, ideally combined with proven qualifications in Compliance-related topics or legal area.
At least 10 years of relevant experience in a comparable role within a bank, financial institution or regulated financial services environment.
Proven experience in interactions with BaFin or other regulators, including supervisory requests, regulatory reviews or audit-related matters.
Strong understanding of legal, regulatory and industry requirements, with deep expertise in Global Markets activities and the relevant regulatory framework, including the Transparency Directive, MAD II/MAR, MiFID II/MiFIR and, where applicable, German regulatory requirements.
Fluent in German and English, both written and spoken; French language skills would be an advantage.
Excellent analytical skills, with the ability to quickly understand complex matters, identify key risks and summarise them clearly for senior stakeholders.
Highly structured and reliable working style, with the ability to manage multiple priorities in a dynamic and business-facing environment.
Strong risk judgement, including the ability to assess risks, processes and controls at different levels of complexity and provide practical, legally sound recommendations.
Strong digital and technical skills, including MS Office applications such as Word, Excel, Outlook, PowerPoint and Copilot; basic programming or technical skills would be a plus.
Personal abilities/ competencies
Self-driven and committed, with a strong work ethic and a genuine ambition to deliver at a high standard.
Excellent communicator, both written and spoken, with the ability to explain complex topics clearly, confidently and appropriately to different audiences.
Strong cross-functional and international mindset, with the ability to work effectively with different business lines, functions, locations and senior stakeholders.
Independent, structured and reliable working style, with the ability to take ownership and drive topics forward with limited supervision.
Collaborative team player, contributing to a positive, supportive and high-performing team culture.
Resilient and confident under pressure, with the ability to act autonomously, prioritise effectively and provide sound judgement in time-sensitive situations.
Growth-oriented mindset, with the willingness to continuously expand legal, regulatory, business and technical knowledge, as well as personal leadership and soft skills.
Readiness to step up, take broader responsibility over time and grow into more senior or leadership-related responsibilities where required.
Motivated to raise standards, supporting colleagues and the wider team in continuously improving quality, efficiency and impact.
Curious and open to new technologies, in particular AI and digital tools, with a practical mindset to use innovation responsibly to enhance processes, controls and risk management.
