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- Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
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Senior Fixed Income and Structured Finance Compliance Advisor - New York, NY, United States - Société Générale Securities Services
Description
ResponsibilitiesResponsibilities include, but are not limited to:Oversee the Compliance Program for the fixed income and structured finance activities, including but not limited to the following: Fixed Income (including Rates, Credit, Repo markets, Foreign Exchange), & Securitized Products and Asset Backed ProductsManage and/or coordinate compliance officers covering the fixed income and structured finance space along with any adjacent business lines or activities.
Focus on the changing regulatory environment in this space and assist in building and advancing the program from a regulatory perspective.
Provide compliance advice and support to the business lines, support functions, firm management, and compliance department. Work with business line senior management to organize the business supervision to ensure compliance with applicable rules.Coordinate management of information barriersAssist in the creation, implementation, and execution of the training program and compliance risk assessment program.
Update Compliance policies and procedures to be current with new or amended rules and regulations, internal policies, and business model changes.
Assist in the response of regulatory inquiries and examinations.This will include gathering pertinent information, data or books and records, interview employees, when necessary, interpret and analyze data prior to submission and liaise with regulators.
Work closely with Operational and IT personnel on the implementation of regulatory initiatives. Assist in the design, when new regulation is enacted, and support the maintenance of the written supervisory procedures.Provide guidance to project managers designing and implementing business and organizational development plans.
Profile requiredDIVISION 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 goalsSKILLS AND QUALIFICATIONS:Must Have:
Bachelor's Degree10 years' experience in compliance covering applicable business activities.
Strong background and ability to advise front office staff on a wide range of product offerings, including CLO's, CDO's, Loans, Syndication, Debt Capital Markets, Public Side OTC Trading, etc.
Experience with Government Securities Dealer programs and requirements.Ability to identify and advise on potential conflicts of interest as it relates to the activities of staff within the structured finance space.
Will be responsible to determine and highlight any information barrier concerns and have the ability to propose remedial steps to reduce information barrier risks.
Willing to obtain certain securities registrations where applicable.Why join usBusiness insightOUR 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:
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.
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.
Reference:
24000E0SEntity:SG Americas SecuritiesStarting date:2024/08/19Publication date:2024/05/20Salary or
Compensation Range:
$176,000 - $326,000
