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:
Competencies:
- 1-3+ years of Compliance experience preferably in a financial institution, or equivalent shown through work experience, training or education
- Basic understanding of the U.S. legal and regulatory environment and rulemaking processes applicable to U.S financial services institutions
- Strong interpersonal and written/verbal communication skills
- Strong analytical, problem-solving and organizational skills
- Great attention to detail
- Ability to manage multiple priorities, meet deadlines, and respond to ad-hoc requests in a dynamic environment
- Demonstrated history of taking initiative
- Communication Skills: excellent verbal, written and presentation skills with the ability to interact with stakeholders at all levels within the organization
- Ability to understand and communicate with subject matters experts and stakeholders with respect to U.S. legal and regulatory developments
Technical Skills & Knowledge:
- Advanced experience with Microsoft Word, Excel, and PowerPoint
- Experience and comfort working with large data sets
- Experience working with GRC systems
- Experience in testing and roll out of new technologies
Qualifications (Experience, Education, Languages):
- Bachelors Degree
- JD or other advanced degree a plus
LANGUAGE:
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 that may apply to this position, candidates who will apply for this position may 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").
