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):
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.
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.