Prime Brokerage Compliance Advisor

Permanent contract|New York|Compliance

Prime Brokerage Compliance Advisor

  • New York, United States
  • Permanent contract
  • Compliance


  • Provide Compliance support to US Prime Brokerage business in developing appropriate controls and procedures to mitigate business and product specific regulatory risks 
  • Contribute to the development of the Prime Brokerage business control framework  
  • Advise on regulatory requirements related to Arranged Financing, Enhanced Leverage and Portfolio Margining programs
  • Knowledge of regulations associated with Securities Prime Brokerage operations, including Regulation T, U, X and applicability of such regulations
  • Partner with business and support functions to formalize plans for business expansion
  • Interact with securities regulators and preparing applications required for regulatory approvals
  • Work closely with Prime Brokerage Business Heads and Margin Control teams on the implementation of regulatory initiatives
  • Train business and operations support teams on relevant rules and regulations
  • Update Compliance policies and procedures to address current rules, regulations, and business model
  • Assist in the responding to regulatory inquiries and regulatory examinations, audits and preparing compliance risk assessments

Profile required

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.

Must Have:

  1. At least 10 years of relevant financial industry experience in Compliance, including experience providing Compliance support to a US Equity Prime Brokerage business. 
  2. Strong knowledge of regulations governing prime brokerage and margin control processes, including arranged financing, enhanced leverage offerings and portfolio margining programs.  
  3. Experience working directly with Margin Control teams.
  4. Ability to analyze complex situations and provide guidance in time sensitive situations.  
  5. Ability to multi-task in a fast-paced environment.
  6. Bachelor’s degree.
  7. Language(s) English

Nice to Have:

  1. Securities industry registrations (e.g., Series 7, 24)
  2. Advanced degree (e.g., J.D, MBA)

Business insight

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 (

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 (

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.


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: 23000URY
Entity: SG Americas Securities
Starting date: immediate
Publication date: 2023/12/01
Salary or Compensation Range: $171,000 - $320,000