Control Room - Compliance Officer

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 regulatory and Firm compliance advice / guidance on issues with respect to information barriers, investment research and investment banking conflicts of interest typical of a global investment bank.
• Oversee securities laws and related regulations concerning information barriers; develop and implement relevant policies and procedures and deliver training. Maintain up to date knowledge of research-related regulations, industry best practices on conflicts of interest and Control Room operations in this area.
• Manage the 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.
• Effectively partner with Compliance and Legal teams across the firm, including Investment Banking, Capital Markets, Research (including Bernstein and Autonomous), and Sales and Trading Compliance teams.
• Maintain and update the Firm’s Watch and Restricted Lists.
• Advise and record all wall crossings.
• Chaperone interactions between the Investment Banking Department and the Research Department
• Conduct reviews of Investment Banking transactions for potential conflicts of interest and maintain the conflicts monitoring system. Liaise where necessary with management, Compliance, and Legal teams.
• Collaborate with Compliance teams in Europe and Asia to ensure global consistency in Control Room practices, policies, and procedures.
• Support internal and regulatory inquiries and investigations, providing subject matter expertise and ensuring timely and accurate responses.
• Contribute to the ongoing development and enhancement of Control Room policies, procedures, and technology platforms, identifying opportunities for process improvement and increased efficiency.

Profile required

Competencies & Skills

• Proficient 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 legal, regulatory or compliance guidance related to research review within the framework of capital market transactions is essential (including SEC Rules 137, 138 and 139).
• Ability to independently engage effectively with business management, and senior research analyst and investment bankers, while coordinating within a team environment.
• Ability to analyze complex situations and provide guidance in time sensitive situations. 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).
• 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.

Diversity and Inclusion

Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.