Business Coverage Compliance Officer – Prime Services and Support Functions

Responsibilities

• Provide Compliance support to US Support Functions including Operations and Finance as well as Prime Services Securities teams in developing appropriate controls and procedures to mitigate business and product specific regulatory risks.
• Advise on regulatory requirements related to Operational processes including SEC and FINRA Margin Rules.
• Knowledge of regulations associated with US Securities Operations and Prime Brokerage businesses.
• Partner with business and support functions to formalize plans for business expansion.
• Assist in preparing applications required for regulatory approvals.
• Work closely with other Compliance 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.

The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Générale’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.

• At least 3 years of relevant financial industry experience in Compliance, including experience providing Compliance support to a US Equity Prime Brokerage business.
• Knowledge of regulations governing securities operations, prime services and margin control processes.
• Experience working directly with Operations and Technology teams
• Ability to analyze complex situations and provide guidance in time sensitive situations.
• Ability to multi-task in a fast-paced environment.
• Bachelor’s degree.
• Language(s) English

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

Business insight

Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

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.

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Our DIB Mission:
Recruit, develop, retain and advance a talented workforce that is united in our efforts to leverage our talent and further develop an inclusive environment that will enhance our competitive position and deliver innovative solutions to our clients. It seeks to foster an environment where employee differences are valued and where all employees feel engaged, supported, respected, and informed. For more information about our DIB initiatives, please visit this link:

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. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.