Responsibilities
Include, but are not limited to:
- Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest.
- Conduct training on the Firm’s policies and procedures relating to Information Barriers. Monitor securities law and related rules and regulation in this area.
- Maintain and update the firm’s Watch and Restricted Lists.
- Coordinate and record Wall Crossings.
- Conduct day-to-day review and clearance of the firm’s research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest. Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal.
- Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal.
- Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
- Chaperone interactions between the Investment Banking and the Research.
- Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act. Perform quarterly Section 13F filings,
- Assist in the development of the Control Rom Compliance program including, policy and technology developments.
- Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities.
- Effectively partner, and work closely with other Compliance teams, including Bank Regulatory; Regulatory Change and Policy; Licensing and Registration; Personal Account Dealing, including Outside Business Activities and Personal Investments; and Surveillance.
- Liaise with Europe and Asia Control Rooms to ensure global consistency where necessary and/or desirable.
- Assist in the conduct of internal and regulatory inquiries and investigations, as necessary.
- Coordinate Compliance issue management, escalation, and reporting.
Profile required
The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s US operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department ensures compliance with US securities, banking, and anti-money laundering and sanctions regulations, oversees key processes and risks of the Know-Your-Customer program. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.
Competencies:
Must Haves:
- Bachelor’s degree (JD desirable, securities licenses a plus)
- At least 3-5 years relevant financial industry experience in compliance for Control Room, including Research
- Solid understanding of securities regulation particularly information barrier / conflicts clearance practices and research rules.
- Ability to analyze complex situations and provide guidance in time sensitive situations. Resolve issues quickly and effectively.
- Ability to multi-task in a fast-paced environment.
- Excellent organizational, oral, and written communication skills.
- Attention to detail.
- Strong interpersonal skills. Must be team player.
- Strong work ethic and professionalism.
- Adaptability and flexibility in a changing environment.
Business insight
OUR CULTURE:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.
For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)
D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our Diversity & Inclusion Vision:
- Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
- Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
- Engage our community and marketplace, and position the organization to meet the needs of all its clients
For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)
HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.
COMPENSATION & SALARY RANGE:
Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience.
Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.