Compliance Officer - Capital Markets
Societe Generale Private Banking
6 zile în urmă


We are seeking for a talented and motivated colleague for BRD’s Capital Markets Compliance team. This role covers a very challenging area from surveillance of the trading activity, conducts the investigation, to monitor and implement the legal requirements in order to ensure compliance Societe Generale policies and Regulatory obligations.

Responsibilities :

As a member of the Capital Markets Compliance team, you are required to perform compliance tasks in the field of National and European legal framework in place (MIFID II / MIFIR, MADII / MAR and PRIIPs etc.), with focus on :

  • Review and analyze the activity of the business lines linked with providing investment services to BRD’s clients;
  • Perform the controls that help ensure ongoing compliance with key laws, regulations and policies affecting BRD’s businesses and mitigate the Compliance risk;
  • Analyzing and drafting responses to regulatory inquiries;
  • Analysis of existing and proposed legislation, regulatory announcements and industry practices for compliance requirements and support businesses to develop and implement procedures to meet these requirements;
  • Develop and deliver compliance training as needed;
  • Additionally, the role requires contribution to specific projects and program tasks intended to improve compliance and enhance the control environment;
  • Requirements :

  • A minimum of 3-5 years of total work experience in Financial Services, with relevant experience as compliance officer, audit or legal background;
  • Thorough knowledge of regulatory environment and compliance requirements related with providing investment services (Regulation ASF 32 / 2006, Law 24.
  • 2017, MIFID II / MIFIR, MADII / MAR and PRIIPs etc.);
  • Ability to effectively communicate orally or in writing within all levels of the organization;
  • High level of curiosity and comfort with the unfamiliar or unknown;
  • Fluent English speaker with strong oral and written communication skill.
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