Policy & Procedure Compliance Officer- Vice President

Permanent contract|New York|Compliance

Policy & Procedure Compliance Officer- Vice President

New York, United States Permanent contract Compliance

Responsibilities

Base Salary Range: $95,000 - $200,000
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.

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.

Responsibilities include, but are not limited to:

  • Working with relevant stakeholders, assist in the development and maintenance of a full suite of US and Americas regional Compliance Department policies and procedures, which includes:

  • Drafting and editing updates to Compliance Department policies and procedures as needed;

  • Analyzing existing Compliance policies in all relevant business units for opportunities for enhancement;

  • Reviewing and revising policies to reflect legal, regulatory, business line and organizational changes;

  • Shepherding policies through stakeholder review and feedback and management approval processes; and

  • Drafting and issuing employee communications regarding policy and underlying U.S. legal and regulatory changes.

  • Working with Compliance Department training team and relevant subject matter experts to develop training materials that accurately reflect US legal and regulatory requirements and Compliance Department policies and procedures

  • Staying current on applicable US laws and regulations and analyzing and interpreting changes as they relate to the Compliance Department policies and procedures.

  • Participating in policy-related management or Department initiatives

  • Implementing best practices for policy and procedure governance

Profile required

Competencies:            

  • Strong interpersonal and written/verbal communication skills

  • Strong analytical, problem-solving and organizational skills

  • Great attention to detail

  • Capable of handling multiple ad-hoc requests.

  • Demonstrated history of taking initiative

  • Ability to prioritize and work in a dynamic, deadline-focused environment

  • Analytical capability: Able to break down complex problems into simple manageable units, develop solutions for each unit, and integrate them back into the whole.  Can absorb ideas quickly and apply then pragmatically

  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results

  • Strong interpersonal effectiveness: is aware of 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’s feelings

  • Communication Skills: excellent verbal, written and presentation skills with the ability to interact with stakeholders at all levels within the organization

  • Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision

  • Ability to understand and communicate with subject matters experts and stakeholders with respect to U.S. legal and regulatory developments

  • Ability to conduct research regarding laws and regulations applicable to SG’s U.S. operations and incorporate research into relevant policies, procedures and training materials

Technical Skills & Knowledge:

  • Advanced experience with Microsoft Word, Excel, and PowerPoint

  • Experience working with policy management systems

  • Excellent writing skills

  • Securities licenses a plus

Qualifications (Experience, Education, Languages):

  • Bachelors Degree

  • JD or other advanced degree a plus

Why join us

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.

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.

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.

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: 22000ZS2
Entity: SG AMERICAS OPERATIONAL SECURITIES
Starting date: 2023/03/13
Publication date: 2023/01/06
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