Jobs
>
New York City

    Control Room- Compliance Officer - New York, United States - Societe Generale

    Societe Generale
    Societe Generale New York, United States

    1 week ago

    Default job background
    Description

    Include, but are not limited to:

    • Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest.
    • Conduct training on the Firm's policies and procedures relating to Information Barriers. Monitor securities law and related rules and regulation in this area.
    • Maintain and update the firm's Watch and Restricted Lists.
    • Coordinate and record Wall Crossings.
    • Conduct day-to-day review and clearance of the firm's research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest.Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal.
    • Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal.
    • Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
    • Chaperone interactions between the Investment Banking and the Research.
    • Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act. Perform quarterly Section 13F filings,
    • Assist in the development of the Control Rom Compliance program including, policy and technology developments.
    • Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities.
    • Effectively partner, and work closely with other Compliance teams, including Bank Regulatory; Regulatory Change and Policy; Licensing and Registration; Personal Account Dealing, including Outside Business Activities and Personal Investments; and Surveillance.
    • Liaise with Europe and Asia Control Rooms to ensure global consistency where necessary and/or desirable.
    • Assist in the conduct of internal and regulatory inquiries and investigations, as necessary.
    • Coordinate Compliance issue management, escalation, and reporting.
    Profile required

    The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker-dealer activities across Societe Generale's US 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 ensures compliance with US securities, banking, and anti-money laundering and sanctions regulations, oversees key processes and risks of the Know-Your-Customer program. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.

    Competencies:

    Must Haves:
    • Bachelor's degree (JD desirable, securities licenses a plus)
    • At least 3-5 years relevant financial industry experience in compliance for Control Room, including Research
    • Solid understanding of securities regulation particularly information barrier / conflicts clearance practices and research rules.
    • Ability to analyze complex situations and provide guidance in time sensitive situations.Resolve issues quickly and effectively.
    • Ability to multi-task in a fast-paced environment.
    • Excellent organizational, oral, and written communication skills.
    • Attention to detail.
    • Strong interpersonal skills. Must be team player.
    • Strong work ethic and professionalism.
    • Adaptability and flexibility in a changing environment.
    Business insight

    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 )
    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 )

    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.

    COMPENSATION & SALARY RANGE:
    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.

    Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.

    Reference:240006VJEntity:SG AMERICAS OPERATIONAL SECURITIESStarting date:2024/05/06Publication date:2024/03/11Salary or Compensation Range:$90,000 - $150,000
  • NYC Careers

    Compliance Officer

    4 days ago

    NYC Careers Manhattan, United States

    **Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...

  • Catholic Charities Community Services

    Compliance Officer

    3 days ago

    Catholic Charities Community Services New York, United States

    **Description** · Summary: This position is responsible for the administration of Human Resources policies, procedures, and programs including Compliance, Training & Development, and Employee Relations. · Essential Functions and Responsibilities include the following. Other dutie ...

  • Kohlberg Kravis Roberts & Co.

    Compliance Officer

    1 week ago

    Kohlberg Kravis Roberts & Co. New York, United States

    **COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...

  • Raisin

    Compliance Officer, Us

    1 week ago

    Raisin New York, United States

    Your Responsibilities · As our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams. You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US exec ...

  • NYC Careers

    Investigations and Compliance Officer

    3 days ago

    NYC Careers New York, United States

    **Investigations and Compliance Officer**: · - Apply**Investigations and Compliance Officer**: · - Agency: DEPT OF CITYWIDE ADMIN SVCS · - Posted on: 05/16/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Citywide Equi ...

  • New York State Psychiatry Institute

    Research Compliance Officer

    4 days ago

    New York State Psychiatry Institute New York, United States

    **Job Title**: Research Compliance Officer · **Grade**: 37 · **Salary**: $167,905 - $190,003 · The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute. · The R ...

  • Sonata Healthcare

    Insurance Compliance Officer

    1 week ago

    Sonata Healthcare New City, United States

    **Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team · We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow w ...

  • Amalgamated Bank of NY

    Trust Compliance and Risk Officer

    1 week ago

    Amalgamated Bank of NY New York, United States

    Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...

  • Société Générale

    Regulatory Change Compliance Officer

    1 day ago

    Société Générale New York, United States

    **Responsibilities**: · Responsibilities include, but are not limited to: · - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG's U.S. business operations · - Communicating regulatory ...

  • EF Hutton

    Aml-kyc Compliance Officer

    2 days ago

    EF Hutton New York, United States

    **The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...

  • Sumitomo Mitsui Banking Corporation

    Employee Compliance Officer

    1 week ago

    Sumitomo Mitsui Banking Corporation Jersey City, United States

    SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    1 week ago

    Anchor Health Home Care Brooklyn, United States

    As a **Compliance Officer **you will be responsible to implement compliance policies and procedures throughout our nursing and HR departments to ensure that all processes are in compliance with the DOH regulations. · **Compliance Officer Responsibilities and Requirements**: · - I ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    1 week ago

    Anchor Health Home Care Brooklyn, United States

    _At Anchor Health Home Care, we deeply appreciate the privilege of being welcomed into the family circle to provide care for our neighbors' beloved family members._ Our dedicated corporate office team at Anchor Health Home Care serves as the central hub for communication among cl ...

  • Barclays

    Fincrime Compliance Officer Legal Rules

    5 days ago

    Barclays New York, United States

    **FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...

  • MUFG Bank, Ltd.

    Corporate Banking Compliance Officer, Avp

    3 days ago

    MUFG Bank, Ltd. New York, United States

    **Do you want your voice heard and your actions to count?** · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organizati ...

  • DataAxxis

    Control Group Compliance Officer

    1 week ago

    DataAxxis Jersey City, United States

    **Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...

  • Santander US

    Executive Director, Compliance-control Room Officer

    1 week ago

    Santander US New York, United States

    Executive Director, Compliance-Control Room Officer · New York, United States of America · The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The ED, C ...

  • Barclays

    Financial Crime Compliance Officer Legal Rules and

    5 days ago

    Barclays New York, United States

    **Financial Crime Compliance Officer Legal Rules and Regulations Vice President** · **New York, NY** · As a Barclays Financial Crime Compliance Officer Legal Rules and Regulations Vice President, you will be directly assisting the Americas Head of Financial Crimes. This is an opp ...

  • NYC Careers

    Labor Compliance Officer, Labor Monitoring Unit

    3 days ago

    NYC Careers New York, United States

    **Labor Compliance Officer, Labor Monitoring Unit**: · - Apply**Labor Compliance Officer, Labor Monitoring Unit**: · - Agency: HOUSING PRESERVATION & DVLPMNT · - Posted on: 04/18/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Dep ...

  • Barclays

    Vp, Control Room and Research Compliance Officer

    1 week ago

    Barclays New York, United States

    **VP, Control Room and Research Compliance Officer** · **New York, NY** · Barclays Services Corp · **What will you be doing?** · Barclays Services Corp seeks VP, Control Room and Research Compliance Officer in New York, NY (multiple positions available): · - On behalf of a global ...