Issues & Breach Management Compliance Officer

Permanent contract|New York|Compliance

Issues & Breach Management Compliance Officer

New York, United States Permanent contract Compliance

Responsibilities

The Compliance Department is looking for a Compliance professional to support the Compliance Issues & Breach Management team. The role also provides support to the firm’s global Volcker Rule Compliance Program.  This person will assist the team in gathering and optimizing business intelligence and creating presentations for senior management in the department.  The ideal candidate will be versatile and enthusiastic and may be required to work with various stakeholders throughout the business and support functions.  The candidate must have strong analytical skills and be practical and proactive in understanding how Firm business practices, operations, and processes operate and evolve.

Responsibilities include, but are not limited to:

  • Advise on and manage matters pertaining to Compliance issue and breach management across the full scope of SGUS operations;
  • Perform a suite of controls related to the Volcker Rule and work to evaluate and improve the Volcker control process;
  • Provide advice to Business Units and Service Units on applicability of and compliance obligations under the Volcker Rule;
  • Prepare presentations and reports for senior Compliance management relating to the Volcker Compliacne Program, as well as Compliance issues and breaches;
  • Optimize the gathering of business intelligence from various sources into the centralized Compliance issue and breach database;
  • Facilitate updates and propose enhancements to the centralized Compliance issues and breach database;
  • Prepare presentations and reports related to control performance throughout the region;
  • Assist with the drafting and maintenance of team operating procedures and training materials;
  • Work on special ad hoc projects, as needed.

Profile required

Competencies:            

  • Strong interpersonal and written/verbal communication skills.
  • Strong analytical, problem-solving and organizational skills.
  • Ability to work with large data sets
  • Capable of handling multiple, simultaneous, and various ad-hoc requests.
  • Ability to prioritize and work in a dynamic, deadline-focused environment.
  • 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
  • Risk Management
  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
  • 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 others 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

The position is based in New York.  As team stakeholders span jurisdictions, it is vital that the employee be a self-starter and able to communicate clearly and effectively.

Technical Skills & Knowledge:

  • Advanced experience with Microsoft Word, Excel, and PowerPoint
  • Excellent writing skills

Qualifications (Experience, Education, Languages):

Required:

  • 3-6+ years of experience across an investment bank or other financial institution.
  • Bachlors Degree

Desired

  • Prior experience with regulatory compliance preferred but not necessary.
  • Knowledge of the Volcker Rule a plus.

Business insight

As a business partner and a second line of defense, the SG Americas Compliance Department supports the Business Units and Support Functions in carrying out banking activities in accordance with regulations and ensuring the sustainable development of our business activities. Société Générale in the Americas is present in the United States, Canada and Brazil where it focuses primarily on corporate and investment banking activities.  SG also operates in several Latin American countries where it offers a range of specialized banking and financial services. In addition to investment banking, SG in the Americas offers global transaction banking, securities services and equipment financing.  In the U.S. the services are offered through our New York branch, broker-dealer and other affiliates.

In its role, the Compliance Department contributes fully to the positive impact that Société Générale wishes to have on the transformation of our societies. Therefore, preventing market misconduct, combating money laundering, and thwarting the financing of terrorism and corruption are all tasks that fall within the scope of compliance and contribute to the positive transformation of our economies.

The Compliance Department ensures:

  • Compliance with laws, rules and ethical principles specific to banking activities and investment services undertaken by the firm, as well as compliance with staff members' personal rules of good conduct and ethics; 
  • Awareness-raising and training of all players in preventing non-compliance and reputational risks.

Within a robust governance and risk management framework the Compliance Department provides expertise in Business Advisory, Financial Crime prevention, Banking, Securities and other applicable regulations, communications and trade surveillance, Second Line testing and monitoring and compliance risk assessment. As part of a global financial institution providing services across the globe, we also cooperate closely on a daily basis with our Head-Office and global affiliates to ensure compliance with the regulations in the countries where we operate and to address cross-border regulatory matters.

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: 22000CR2
Entity: SG AMERICAS OPERATIONAL SECURITIES
Starting date: 2022/09/12
Publication date: 2022/08/05
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