- New York, United States
- Permanent contract
- Compliance
- Assist Senior Advisory staff in providing compliance guidance and support to EQD business lines, firm management, support functions and compliance teams.
- Assist in the creation, implementation, and execution of the training program for all related compliance matters to the EQD business lines, support functions and compliance support staff on relevant rules and regulations.
- Assist and where necessary update Compliance Policies and Procedures to be current with FINRA/SEC rules, regulations and business model.
- Assist in the response of regulatory inquiries and provide support during regulatory examinations.
- Work closely with Senior Advisory staff, IT and Operations personnel on the implementation of regulatory initiatives.
- Junior Compliance Advisor will cover the following areas of the business: Equity, Equity Derivatives and Futures
- Work with relevant stakeholders on the team to provide compliance guidance on new product initiatives impacting the EQD space.
- Conduct quarterly reviews of EQD business unit trade activity, as well as marketing material, in an effort to identify potential compliance issues.
- Support and execute the Compliance Risk Assessment process for the EQD Advisory Team.
- Assist in the design, when new or amended regulation is enacted, and support the maintenance of the written supervisory procedures applicable to the EQD business units.
- 3 to 5 years' experience in Compliance, with a focus or dealing with equity and/or equity derivative rules and regulations.
- Ability to assist and support Compliance staff in providing advice to front office staff on a wide range of product offerings.
- Willing to obtain certain securities registrations where applicable.
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Equity and Equity Derivatives - New York, United States - Société Générale Assurances
Description
Equity and Equity Derivatives ("EQD") Compliance Advisor - Associate
Permanent contract|New York|ComplianceEquity and Equity Derivatives ("EQD") Compliance Advisor - Associate
Responsibilities
Responsibilities include, but are not limited to:
Profile required
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:
