Control Room - Compliance Officer

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

Responsibilities

The AMER Control Room is a crossline of the business Compliance function that is primarily responsible for providing advice and guidance with respect to policies and procedures reasonably designed to prevent the misuse of Material Non-Public Information (generally known as \"MNPI\"), and Global Banking and Advisory conflicts of interest.

Responsibilities include, but are not limited to:

• Provide Firm compliance guidance on issues with respect to information barriers, investment research and investment banking conflicts of interest typical of a global investment bank.


• Conduct training on the Firm’s policies and procedures relating to information barriers. Monitor securities law and related rules and regulation in this area.


• Conduct day-to-day review and clearance of Firm and affiliate research publications, ensuring compliance with applicable research regulations (e.g., FINRA Rules 2241 and 2242, SEC Rules 137, 138, 139, and Regulation M) and proactively identifying and addressing potential conflicts of interest. Coordinate as necessary with management, Supervisory Analysts, Compliance, and Legal teams.


• 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.


• Maintain and update the Firm’s Watch and Restricted Lists.


• Coordinate and record Wall Crossings.


• Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act.


• Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities.


• Effectively partner 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.


• Assist in the development of the Control Rom Compliance program including, policy and technology developments.


• 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.

Required

Profile required

Competencies:

• Solid understanding of U.S. securities laws, rules and regulations regarding capital markets (including Regulation M), as well as Self-Regulatory Organization rules including research (e.g., FINRA Rules 2241 and 2242), communication with the public, supervision and information barrier / conflicts, as well as knowledge of industry best practices.


• Experience in providing compliance guidance related to research review within the framework of capital market transactions is essential (including SEC Rules 137, 138 and 139).


• Ability to engage effectively with business management, and senior research analyst and investment bankers, while coordinating within a team environment.


• Ability to analyze complex situations in time sensitive situations and propose to 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.


• Desire to learn.


• Adaptability and flexibility in a changing environment.

Qualifications (Experience, Education, Languages)

• Bachelor’s degree (JD desirable, securities licenses a plus.


• At least 3-5 years relevant financial industry experience related to control room activities, with experience in compliance for research and capital markets activities, preferably equity-related.

Business insight

Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

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 (https://americas.societegenerale.com/en/careers/get-know-culture/)

DIVERSITY, INCLUSION & BELONGING (\"DIB\"):

Our DIB Mission: Recruit, develop, retain and advance a talented workforce that is united in our efforts to leverage our talent and further develop an inclusive environment that will enhance our competitive position and deliver innovative solutions to our clients. It seeks to foster an environment where employee differences are valued and where all employees feel engaged, supported, respected, and informed. For more information about our DIB initiatives, please visit this link: https://americas.societegenerale.com/en/careers/get-know-diversity/

COMPENSATION:

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. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.