Senior Equity Compliance Advisor

Permanent contract|New York|Compliance

Senior Equity Compliance Advisor

New York, United States Permanent contract Compliance


Responsibilities include, but are not limited to:

  • Provide and assist the Compliance Advisory staff in providing real time compliance support to the Equity Divisions of SG Americas Securities (“SGAS”). 

  • Assist with matters related to SGAS’ various regulatory reporting requirements including (LOPR, OCEND, CAT, TRF and Blue Sheets). 

  • Communicate with colleagues globally on matters related to the Firm’s Equity activities and its U.S. regulatory obligations. 

  • Work closely with IT and support staff on the implementation of regulatory initiatives. 

  • Assist and train the business line, support functions and compliance support staff on relevant rules and regulations. 

  • Update Compliance policies and procedures to be current with rules, regulations and business model. 

  • Assist in the response of regulatory inquiries and regulatory examinations. 

  • Provide assistance in the reviews of the Firm’s marketing material and communications.

  • Monitor business activities and engage in active dialog with business unit personnel regarding Compliance impacts of their activities.

  • Assist the SGAS Supervisory Control Group in the design and maintenance of written supervisory procedures.

  • Communicate directly with traders and supervisors to assess risks and remediate issues.

  • Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and/or amended regulations.

  • Provide updates to other support areas in the Firm on new or amended rules that may impact the Equity Divisions of SGAS. 

  • Provide advisory guidance to SGUS support functions in order to ensure compliant functionality of front and back-office tools.

  • Serve as primary contact with other compliance functions in researching, resolving and advising as it relates to trade surveillance, audit or compliance testing matters.

Profile required


  • Strong interpersonal and written/verbal communication skills.

  • Strong analytical, problem-solving and organizational skills.

  • Great attention to detail.

  • Capable of handling multiple, simultaneous, and various 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, develops solutions for each unit, and integrates 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 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.

Technical Skills & Knowledge:

  • Advanced experience with Microsoft Word, Excel, and PowerPoint

  • Excellent writing skills

  • Securities licenses a plus

Qualifications (Experience, Education, Languages):

  • Bachelors Degree

Employee Specific Job Responsibilities:

  • Knowledge of SEC, FINRA, and SRO rules relating to Equity Sales and Trading Products.

  • Experience with regulatory reporting requirements (i.e., CAT, Blue Sheets, FINRA TRF, Large Options Position Reporting, and OCEND)

  • General knowledge of Prime Brokerage/Stock Loan regulations is a plus.

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, 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: 22000KKA
Entity: SG Americas Securities
Starting date: 2022/08/22
Publication date: 2022/07/22