Communications Surveillance Compliance Specialist

Position description

Responsibilities

• Review of electronic and audio communication alerts across various business units and escalate issues to relevant stakeholders for investigation and resolution.
• Collaborate with regional and global colleagues across multiple departments including but not limited to Front Office, Operations, Technology, Human Resources and Legal.
• Contribute to the preparation of management metrics and reports.
• Participate in the development, testing and implementation of new surveillance scenarios and minimum standards.
• Participate in regional and global compliance initiatives and investigations.
• Assist with the review and analysis of new and/or amended industry rules and regulations.
• Assist with new business initiatives and their potential impact to the surveillance program.

Profile required

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.

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’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.

SKILLS AND QUALIFICATIONS:

Competencies:

• General knowledge of applicable regulations relating to Investment Banking, and Broker-Dealer Sales and Trading activity.
• Strong interpersonal and written/verbal communication skills.
• Strong analytical, problem-solving, and organizational skills.
• Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment.
• Self-starter with the aptitude to work independently and with a well diversified team.
• Strong attention to detail.

Technical Skills:

• Experience with Microsoft Word, Excel, and PowerPoint

Qualifications (Education, Experience, Languages):

• Bachelor’s Degree or its equivalent.
• 5+ years of experience in either communication surveillance, general compliance and/or financial services.
• Fluent (read, write and speak) in French a plus.

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/)

D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our Diversity & Inclusion Vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable business lines will determine and communicate the work arrangements that best meet their business needs.

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.

Application instructions

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