Employee Investment Program Compliance Officer

Permanent contract|United States|Compliance

Employee Investment Program Compliance Officer

  • United States
  • Permanent contract
  • Compliance

Responsibilities

  • 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

DIVISION DESCRIPTION: 
The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s 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 oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals

SKILLS AND QUALIFICATIONS:
Must Have:

  • Bachelor’s Degree or equivalent experience
  • 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. 
  • Detailed understanding of US Securities regulations as applied to employee investments and outside business activities.
  • Advanced experience with Microsoft Office Suite (Word, Excel, and PowerPoint)
  • 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. 

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:
For most positions, 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.

Reference: 24000H74
Entity: SG AMERICAS OPERATIONAL SECURITIES
Starting date: 2024/09/23
Publication date: 2024/06/26
Salary or Compensation Range: $117,000 - $211,000
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