Fixed Income Compliance Advisor – Advisory & Regulation

Societe Generale SA; New York (NY); On-site; USD 100,000 - 140,000; Full time

Job summary

Societe Generale US (SGUS) Compliance is responsible for monitoring the corporate banking, investment banking and broker–dealer activities, implementing global compliance policies, and coordinating cross-border transactions. The role includes advising EQD lines, developing training programs, and maintaining supervisory procedures.

The position collaborates with Global Compliance, regulators, and internal teams to ensure AML, KYC, and regulatory requirements are met, with emphasis on FINRA/SEC

Qualifications

• Bachelor’s degree required; knowledge of SEC/FINRA/SRO rules related to Fixed Income Sales and Trading.
• Experience with regulatory requirements (TRACE reporting) and FX markets familiarity.
• Knowledge of FINRA/SEC rules and the ability to support regulatory examinations.

Responsibilities

• Assist senior advisory staff in providing compliance guidance to EQD business lines and firm management.
• Assist in creating, implementing, and executing the training program for compliance matters.
• Assist and update Compliance Policies and Procedures to align with FINRA/SEC rules.
• Assist in responding to regulatory inquiries and support during regulatory examinations.
• Work with IT and Operations on implementing regulatory initiatives.
• Compliance Advisor covers Equity, Equity Derivatives and Futures areas.
• Conduct quarterly reviews of EQD trade activity and marketing material for compliance issues.
• Assist in the design and maintenance of written supervisory procedures for EQD units.

Skills

Strong communication

Analytical problem solving

Attention to detail

Multitasking

Regulatory knowledge (FINRA/SEC/SRO)

Leadership/ownership

Education

Bachelor's Degree

Tools

Microsoft Word

Excel

PowerPoint

Job description

Societe Generale US (SGUS) Compliance is responsible for monitoring the corporate banking, investment banking and broker–dealer activities, implementing global compliance policies, and coordinating cross-border transactions. The role includes advising EQD lines, developing training programs, and maintaining supervisory procedures.

The position collaborates with Global Compliance, regulators, and internal teams to ensure AML, KYC, and regulatory requirements are met, with emphasis on FINRA/SEC