Senior Equity & Derivatives Compliance Advisor

Societe Generale SA; New York (NY); On-site; USD 120,000 - 190,000; Full time

Benefits offered by this job

401(k) plan

Medical/dental/vision insurance

Commuter benefits

Wellness programs

Job summary

Societe Generale SA in New York seeks a seasoned Compliance professional to support equity and equity derivatives compliance for SGUS, coordinating with Global Compliance in Paris and local teams.

The role emphasizes guidance to front-office, policy updates, and training delivery, with a focus on risk management and regulatory change. Strong communication and leadership are essential to drive cross-border initiatives and maintain high standards of compliance.

Qualifications

• Minimum 5 years’ experience in Compliance with a focus on equity and/or equity derivatives rules.
• Bachelor’s degree in a relevant field.
• Securities licenses a plus.

Responsibilities

• Assist Senior Advisory staff in providing compliance guidance and support to EQD business lines, firm management, support functions and compliance teams.
• Assist in the creation, implementation, and execution of the training program for all related compliance matters to the EQD business lines, support functions and compliance support staff on relevant rules and regulations.
• Assist and where necessary update Compliance Policies and Procedures to be current with FINRA/SEC rules, regulations and business model.
• Assist in the response of regulatory inquiries and provide support during regulatory examinations.
• Work closely with Senior Advisory staff, IT and Operations personnel on the implementation of regulatory initiatives.
• Compliance Advisor will cover the following areas of the business: Equity, Equity Derivatives and Futures
• Work with relevant stakeholders on the team to provide compliance guidance on new product initiatives impacting the EQD space.
• Conduct quarterly reviews of EQD business unit trade activity, as well as marketing material, in an effort to identify potential compliance issues.
• Support and execute the Compliance Risk Assessment process for the EQD Advisory Team.
• Assist in the design, when new or amended regulation is enacted, and support the maintenance of the written supervisory procedures applicable to the EQD business units.

Skills

Interpersonal skills

Communication skills

Analytical skills

Regulatory compliance

Risk management

Leadership

Attention to detail

Education

Bachelor's Degree

Tools

Microsoft Word

Excel

PowerPoint

Job description

Societe Generale SA in New York seeks a seasoned Compliance professional to support equity and equity derivatives compliance for SGUS, coordinating with Global Compliance in Paris and local teams.

The role emphasizes guidance to front-office, policy updates, and training delivery, with a focus on risk management and regulatory change. Strong communication and leadership are essential to drive cross-border initiatives and maintain high standards of compliance.