Head of Control Room

 New York, United States       Permanent contract        Legal / Taxation / Compliance

Responsibilities

  • Continue to evolve  and keep going a comprehensive Control Room (including, Investment Banking Conflicts) and Research Compliance programs, including leading, supporting and working alongside a team of Compliance professionals;
  • Compliance advice and guidance with respect to Information Barriers, Investment Banking Conflicts of Interest and Research;
  • Development, implementation and training of firm’s policies and procedures relating to Information Barriers and Research. Identify and prioritize compliance and regulatory risk associated with  these areas;
  • Maintain and update the firm’s Watch and Restricted Lists;
  • 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 w/ management, Supervisory Analysts, Compliance and Legal;
  • Monitor the firm’s positions  and regulatory filings for the purposes of Section 13D, 13G and 16 of the Securities Act;
  • Advise and record all Wall Crossings;
  • Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trade surveillance, as well as Personal Account Dealing regarding employee activity;
  • Chaperone interactions between the Investment Banking Department and the Research Department;
  • Conduct review of Investment Banking transactions for potential conflicts of interest, and maintain the Conflicts monitoring system. Liaise where necessary w/ management, Compliance and Legal;
  • Assist Research with respect to supervision structure and process;
  • Coordinate compliance breaches regarding information barrier breaches and/or by Research;
  • Attend various Research committees;
  • Work on other Compliance or Research projects to ensure objectives are achieved;
  • Assist in the conduct of internal and regulatory inquiries and investigations as necessary; and
  • Assist in the continued development of the Control Room  technology..

The successful candidate must have strong knowledge of the rules and regulations relating to US and foreign Investment Banking and Research operations.  An overall solid working knowledge of how global financial institutions function is essential.  Ability to collaborate with the Firm’s global Control Rooms and Research Advisory Compliance teams in Paris, London, and Hong Kong will be required.   


Profile Required

Competencies:            

  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results. Great attention to detail. Capable of handling multiple, simultaneous, and various ad-hoc requests. Demonstrates history of taking initiative. Ability to prioritize and work in a dynamic, deadline-focused environment;
  • Strong interpersonal effectiveness: is self-aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in other opinions and shows consideration, concern and respect for other people feelings;
  • Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience;
  • Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision
  • Analytical capability: Able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole.  Can absorb ideas quickly and apply then pragmatically; and
  • Risk Management.

Qualifications 

  • Bachelor’s degree (Preferred)
  • 10+ years experience 
Risk Management 

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.


Our Culture 

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, innovation. These four values are centered around our clients. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. And we work to increase our impact on clients.



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 the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and 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, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 20000KSA
Business unit: SG AMERICAS OPERATIONAL SECURITIES
Starting date: 09/11/2020
Date of publication: 26/09/2020
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Head of Control Room

Permanent contract   |   New York   |   Legal / Taxation / Compliance