Regulatory Framework Management & Training Compliance Officer

Permanent contract|New York|Compliance

Regulatory Framework Management & Training Compliance Officer

New York, United States Permanent contract Compliance

Responsibilities

Responsibilities include supporting the political contribution pre-clearance program and Compliance training function generally and more specifically include but are not limited to:

  • Supporting the SGUS Political Contributions Compliance program by reviewing employee political contributions for compliance with applicable US federal, state and local rules and regulations

  • Conducting monitoring of employee political contributions for confirmation of employee pre-clearance

  • Advising on political contribution pre-clearance and related activities

  • Conducting training and drafting communications related to US regulatory requirements governing political contributions;

  • Supporting Compliance training function in administering annual training plans;

  • Preparing and reviewing training content for consistency with US rules and regulations and internal policies

  • Preparing training attendance reports and presentations for senior management and US regulators

  • Assist in conducting annual training needs analysis and development of annual training plans

  • Revising relevant political contribution and training related policies and procedures as applicable rules and regulations or firm practices change

  • Investigating potential employee breaches of political contribution pre-clearance and training requirements

  • Maintaining political contribution and training records in accordance with applicable US rules and regulations

  • Participating in special projects in support of the larger Regulatory Framework Management & Training team

Profile required

Competencies:            

  • Ability to understand and communicate with subject matters experts and stakeholders with respect to political contribution pre-clearance and other U.S. legal and regulatory topics

  • 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, 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

Technical Skills & Knowledge:

  • Advanced experience with Microsoft Word, Excel, and PowerPoint

  • Experience working with GRC systems

  • Excellent writing skills

  • Securities licenses a plus

Qualifications (Experience, Education, Languages):

  • Bachelors Degree

  • JD or other advanced degree a plus

  • 2 to 3 years experience in Financial Services or related industry

Why join us

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

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.

#LI-Hybrid

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: 22000JBW
Entity: SG AMERICAS OPERATIONAL SECURITIES
Starting date: 2022/07/25
Publication date: 2022/06/17
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