- Provide real time compliance support to the Equity and Equity Derivative Divisions of SG Americas Securities (“SGAS”) and other support functions
- 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 and Equity Derivative activities and its U.S. regulatory obligations.
- Work closely with Operations, IT and other support staff on the implementation of regulatory initiatives, projects or any initiative requiring compliance input and oversight.
- Train the business line, support functions and compliance support staff on relevant rules and regulations, internal policies or any subject requiring staff education.
- Update Compliance policies and procedures to be current with new or amended rules, regulations and business model.
- Assist in the response of regulatory inquiries and examinations.
- Provide assistance in the review 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 Supervisors and Operational Risk Managers 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 compliance guidance to SGAS support functions in an effort to achieve compliant functionality of front and back-office tools.
- Serve as primary contact with other compliance functions, such as trade surveillance and testing and monitoring, in researching and resolving and advising matters escalated.
DIVISION DESCRIPTION\:
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.
SKILLS AND QUALIFICATIONS:
Must Have\:
- 10 Years experience in a comparable Compliance Advisory role.
- Bachelors Degree
- Knowledge of SEC, FINRA and SRO rules relating to Equity and Equity Derivative Sales and Trading Products.
- Experience with regulatory reporting requirements (i.e., CAT, Blue Sheets, FINRA TRF, Large Options Position Reporting, and OCEND)
- Strong interpersonal and written/verbal communication skills.
- Strong analytical, problem-solving, and organizational skills.
- Demonstrated history of taking initiative.
- Ability to prioritize and work in a dynamic, deadline-focused environment.
- 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.
Nice to Have:
- General knowledge of Prime Brokerage/Stock Loan regulations.
- Securities licenses