Senior Fixed Income Compliance Advisor

Societe Generale SA; New York (NY); On-site; USD 90,000 - 140,000; Full time

Job summary

The SGUS Compliance Department monitors corporate and investment banking activities and coordinates with Global Compliance in Paris to implement policies and manage cross-border transactions. It oversees handling of confidential information and administers the Employee Investment Policy, registration of broker–dealer personnel, and compliance training.

Responsibilities include supporting senior staff, updating policies to FINRA/SEC rules, and conducting regulatory responses.

Qualifications

• Advanced word processing, spreadsheet, and presentation skills.
• Knowledge of SEC, FINRA and SRO rules related to Fixed Income Sales and Trading products.
• Experience with regulatory requirements (TRACE reporting) and FX markets.

Responsibilities

• Assist in updating Compliance Policies and Procedures to align with FINRA/SEC rules.
• Support regulatory inquiries and examinations.
• Collaborate with IT and Operations on regulatory initiatives.
• Provide compliance guidance across Equity, Equity Derivatives and Futures.

Skills

MS Word

MS Excel

PowerPoint

Education

Bachelor's Degree

Job description

The SGUS Compliance Department monitors corporate and investment banking activities and coordinates with Global Compliance in Paris to implement policies and manage cross-border transactions. It oversees handling of confidential information and administers the Employee Investment Policy, registration of broker–dealer personnel, and compliance training.

Responsibilities include supporting senior staff, updating policies to FINRA/SEC rules, and conducting regulatory responses.