Employee Investment Program Compliance Officer

Permanent contract|New York|Compliance

Employee Investment Program Compliance Officer

New York, United States Permanent contract Compliance


Responsibilities include:

  • Serve as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by SGUS employees.

  • Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests.

  • Provide SGUS employees Compliance guidance relevant to SG’s policies and regulatory requirements on personal account trading, private investments, and outside business activities.

  • Conduct daily surveillance of employee personal account trading, outside business activities and private investments.  Daily responsibilities would include, evaluating exceptions, raising breaches, preparing management reportingly, liaising with broker dealers maintaining accounts for SGUS employees and administering the annual compliance certification.

  • Collaborate with regional and global colleagues across departments to design and implement program enhancements, review new or amended Industry regulations and best practices.

Profile required


  • Strong interpersonal and written/verbal communication skills.
  • Strong analytical, problem-solving, and organizational skills.
  • Great attention to detail.
  • Motivated and self-starter
  • Willing to work independently as well as with a team
  • Capable of multi-tasking, taking initiative and prioritizing tasks.

Technical Skills & Knowledge:

  • Detailed understanding of US Securities regulations as applied to employee investments and outside business activities.
  • 5 or more years of compliance experience with a minimum of 2-3 years directly related to the monitoring and review of personal account trading, outside business activities and private investments.
  • Advanced experience with Microsoft Office Suite (Word, Excel, and PowerPoint)

Qualifications (Experience, Education, Languages):

  • Bachelor’s Degree or equivalent experience

Employees should understand the institution’s approach to risk management and their respective roles in supporting a strong risk culture, as outlined in the SGUS Operations Enterprise Risk Management Framework.

Business insight

The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management.  Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers firm and agent registration for Broker Dealer and Futures Commission Merchant entities as well as all aspects of employee investments and personal dealing. The Compliance Department also conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations.  The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations.  Additionally, AML oversees key processes and risks of the KYC department.


We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 22000N7U
Starting date: 2022/09/19
Publication date: 2022/08/16