Registration Compliance Officer

The Compliance Department at Société Générale is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm’s banking and financial activities, particularly in the areas of anti-money laundering, anti-terrorism financing, sanctions & embargoes, know-your-customer obligations, client protection, market integrity, anti-bribery & corruption, data protection and client tax transparency.

The Compliance Department enables the firm to operate according to essential compliance standards, ensures that Société Générale’s non-compliance and reputation risks are controlled, while supporting the business with existing activities and with the development of new products or services.

Compliance acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spread a culture of compliance within the Group.

TEAM OVERVIEW:

The US Central Compliance team is seeking an additional resource in the Firm’s Montreal office to support the U.S. operations.  This is an exciting opportunity to join the team where you will be working in a key area of Société Générale’s Compliance program interacting with regional and global colleagues and across various business units to mitigate regulatory and reputational risks.

What will be your DAY-TO-DAY?

The candidate will participate in:

• Coordinate closely with Compliance, Human Resources and Legal teams to manage regulatory pre-hire, onboarding and offboarding processes for the US Broker-Dealer associated persons.
• Partner closely with Compliance, Front Office, Human Resources, Legal, Finance and Operations teams for regulatory alignment and operational efficiency related to onboarding licensed new hires in the US.
• Prepare and maintain regulatory documentation, reporting, and compliance governance metrics for internal oversight and regulatory readiness.
• Work closely with IT to assess technology initiatives and potential system enhancements for greater program efficiency.
• Assist with new business initiatives, challenge potential risks and evaluate their impact on program.
• Monitor, maintain, and renew registration records so that  regulatory obligations are met accurately and timely.
• Support the review and analysis of new and amended industry rules and regulations and help assess their applicability to the program.
• Prepare and submit regulatory filings for the US broker/dealer and US associated persons including Form U4 and U5s, NFA 8R and 8T, and Form BD and ADV.

Skills and Qualifications:

Must Have:

• Bachelor’s degree.
• 3-5 years of experience in compliance and/or the financial services industry.
• General knowledge of banking and broker-dealer regulations and applicable regulatory frameworks.
• Basic understanding of compliance and regulatory principles, with a strong interest in developing deeper regulatory expertise.
• Experience working in investment banking or similar regulated financial environment.
• Strong analytical, problem-solving, and organizational skills, with the ability to manage detailed information accurately.
• Exceptional attention to detail and accuracy in a highly regulated environment.
• Strong written and verbal communication skills, with the ability to collaborate effectively across teams.
• Ability to manage multiple priorities simultaneously in a fast-paced, deadline-driven environment.
• Highly motivated to learn and grow, with training provided on U.S. regulatory requirements.

Languages:

Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.

Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority (“FINRA”). 

OUR BENEFITS:

WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALE

Competitive compensation & benefits offering, including but not limited to:

• Minimum of 20 Vacation days + 4 personal days 
  • Supportive Maternity, paternity, parental and adoption leave policy 
  • Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.)

Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family

Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.

• A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others)

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.
For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)
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.