Futures Surveillance Compliance Associate , Chicago

Societe Generale; Chicago (IL); On-site; USD 70,000 - 110,000; Full time

Benefits offered by this job

Annual discretionary bonus

401(k) plan with company match

Medical/dental/vision benefits

Commuter benefits

Job summary

Société Générale Americas Compliance department supports the corporate, investment banking and broker-dealer activities, providing guidance on laws and regulations and developing related policies, procedures, training and controls.

The team oversees Know Your Customer, AML, sanctions, and data protection, with a focus on risk discovery and control testing. Collaboration across a diverse, global organization is essential.

Qualifications

• 2-4 years of experience in Trade Surveillance, General Compliance, Front Office Trading or Financial Services.
• Knowledge of banking, broker-dealer and futures regulations.
• Strong attention to detail and ability to work independently.
• Ability to prioritize in a dynamic, deadline-focused environment.
• Excellent ethics and adherence to rules and regulations.
• Strong communication across all levels of an organization.
• Demonstrated initiative and proactive mindset.
• Proficiency in Excel, Word and PowerPoint.
• Excellent research, analytical and written/verbal communication skills.

Responsibilities

• Review trade surveillance alerts and raise issues to relevant stakeholders for investigation and resolution.
• Develop, test and implement Trade Surveillance controls.
• Perform user acceptance and reasonability testing of Trade Surveillance controls.
• Contribute to management metrics and reporting.

Skills

Trade Surveillance

Compliance knowledge

Excel

Word

PowerPoint

Analytical skills

Communication skills

Initiative

Teamwork

Job description

Division Description

Wholesale Banking is the primary investment banking division of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia, Wholesale Banking provides corporate, financial institutions, investors, and public‑sector clients with value‑added integrated financial solutions.

Reference 26000GFR

Responsibilities

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker‑dealer activities across Société Générale’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 conducts trade and communications surveillance, and manages transversal support functions that help the Department achieve its goals.

• Review of trade surveillance alerts and raise issues, where appropriate, to relevant stakeholders for investigation and resolution.
• Participate in the development, testing and implementation of new and existing Trade Surveillance controls.
• Perform user acceptance and reasonability testing of Trade Surveillance controls.
• Contribute to the preparation management metrics and reporting.

Projects participation

• Participate in regional and global compliance initiatives and investigations.
• Review and analyze new and/or amended industry rules and regulations.
• Assess new business initiatives and their potential impact to the Trade Surveillance program.

Profile required

Must Have

• 2-4 years of experience ideally in either Trade Surveillance (in particular Futures and/or Fixed Income), General Compliance, Front Office Trading and/or Financial Services.
• General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity.
• Strong attention to detail.
• Ability to work independently.
• Ability to prioritize and work in a dynamic, deadline‑focused environment.
• Exemplary personal ethics and desire to always adhere to rules and regulations.
• Ability to work well in a highly diverse team.
• Ability to communicate well across all levels of an organization.
• Demonstrated history of taking initiative.
• Proficiency in Excel, Word and PowerPoint.
• Excellent research and analytical skills.
• Excellent written and verbal communication skills.

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.