Policy & Procedure Compliance Officer

Responsibilities

Responsibilities include, but are not limited to:

• Working with relevant stakeholders, assist in the development and maintenance of a full suite of US and Americas regional Compliance Department policies and procedures, which includes:
  • Drafting and editing updates to Compliance Department policies and procedures as needed;
  • Analyzing existing Compliance policies in all relevant business units for opportunities for enhancement;
  • Reviewing and revising policies to reflect legal, regulatory, business line and organizational changes;
  • Shepherding policies through stakeholder review and feedback and management approval processes; and
  • Drafting and issuing employee communications regarding policy and underlying U.S. legal and regulatory changes.
  • Managing the system of record for Compliance and non-Compliance policies and procedures
• Working with Compliance Department training team and relevant subject matter experts to develop training materials that accurately reflect US legal and regulatory requirements and Compliance Department policies and procedures
• Coordinating policy certification processes by working with business COOs and other senior stakeholders
• Staying current on applicable US laws and regulations and analyzing and interpreting changes as they relate to the Compliance Department policies and procedures.
• Participating in policy-related management or Department initiatives
• Implementing best practices for policy and procedure governance

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

• 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, written and presentation skills with the ability to interact with stakeholders at all levels within the organization
• Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision
• Ability to understand and communicate with subject matters experts and stakeholders with respect to U.S. legal and regulatory developments
• Ability to conduct research regarding laws and regulations applicable to SG’s U.S. operations and incorporate research into relevant policies, procedures and training materials

• Advanced experience with Microsoft Word, Excel, and Power Point
• Experience working with policy management systems
• Excellent writing skills
• Securities licenses a plus

• Bachelor…