Americas Control Room Compliance Advisor

Societe Generale SA; New York (NY); Vor Ort; USD 90.000 - 140.000; Vollzeit

Zusammenfassung

Societe Generale seeks a seasoned compliance professional for its AMER Control Room in New York. This role focuses on policies designed to prevent MNPI misuse and conflicts of interest across research, investment banking, and regulatory reporting.

You will advise on information barriers, conduct training, review research publications for compliance, and coordinate with global control rooms to ensure consistency and regulatory alignment.

Qualifikationen

• Bachelor’s degree; JD desirable; securities licenses a plus.
• 3–5 years of relevant financial industry experience in control room activities.
• Experience in compliance for research and capital markets, preferably equity-related.

Aufgaben

• Provide Firm compliance guidance on information barriers, research and banking conflicts of interest.
• Conduct training on Firm policies and procedures relating to information barriers; monitor securities law and related rules.
• Review and clearance of Firm and affiliate research publications for compliance with regulations (FINRA Rules 2241/2242, SEC Rules 137-139, Regulation M).
• Review Investment Banking transactions for conflicts of interest; maintain the Conflicts monitoring system; liaise with business, Compliance and Legal.
• Maintain and update Watch and Restricted Lists; coordinate and record Wall Crossings.
• Monitor filings under Section 13D/13G/16; liaise with Surveillance on trading activities.
• Partner with Investment Banking Compliance Coverage and assist in risk assessments and reporting.
• Chaperone interactions between Investment Banking and Research; assist in Control Room Compliance program development.
• Coordinate with other Compliance teams and Global Control Rooms to ensure consistency.
• Assist in internal and regulatory inquiries and investigations; coordinate issue management and escalation.

Kenntnisse

US securities laws

Regulatory rules (FINRA/SEC)

Research review in capital markets

Information barriers compliance

Cross-functional coordination

Ausbildung

Bachelor’s degree

JD desirable

Jobbeschreibung

Societe Generale seeks a seasoned compliance professional for its AMER Control Room in New York. This role focuses on policies designed to prevent MNPI misuse and conflicts of interest across research, investment banking, and regulatory reporting.

You will advise on information barriers, conduct training, review research publications for compliance, and coordinate with global control rooms to ensure consistency and regulatory alignment.