Head of Bank Regulatory and Prudential Regulatory Affairs

Department Summary:

As a business partner and a second line of defense, the SG Americas Compliance Department supports the Business Units and Support Functions in carrying out banking activities in accordance with regulations and ensuring the sustainable development of our business activities. Société Générale in the Americas is present in the United States, Canada and Brazil where it focuses primarily on corporate and investment banking activities. SG also operates in several Latin American countries where it offers a range of specialized banking and financial services. In addition to lending, securitized products, investment banking, SG Americas offers global transaction banking, and has two registered broker-dealers, which engage in a large range of activities. SG Americas operates through a New York branch, and other branches and representative offices.

The Compliance Department ensures compliance with laws, rules and ethical principles specific to banking activities and investment services undertaken by the firm, as well as compliance with staff members' personal rules of good conduct and ethics;

Day-to-Day Responsibilities** **:

The role has two main responsibilities: (a) overseeing the SGUS regulatory relations team, which is the team serving as the central point of contact with SGUS’ prudential (banking) regulators) and (b) managing the SGUS bank regulatory compliance framework. Specific responsibilities include, but are not limited to:

• Acting as central point of contact for SGUS’ prudential/banking regulators;

• Overseeing SGUS regulatory relations team and framework to ensure sufficiency and consistency in SGUS’ approach to working with its prudential/banking regulators across the Americas region;

• Working closely with executive management, business lines and control functions (including compliance, risk and legal) and SGUS and Group Executive Management and Group Management to interpret supervisory messaging and prepare them for regulatory interactions;

• Managing examinations conducted by SGUS prudential/banking regulators;

• Reviewing key supervisory deliverables, including written communications to regulators (e.g., response letters) and advising internal stakeholders on corrective actions;

• Serving as a voting member of the Remediation Committee, providing oversight/decisions on action plans and remediation efforts;

• Overseeing and managing SGNY’s bank regulatory compliance framework and team (including governance framework, risk-and-control framework, regulatory risk assessments, training, bank regulatory policies, etc.);

• Assisting the business with applicability of banking rules to transactions, structures or business activities; and providing advice on development of internal controls and procedures;

• Overseeing Compliance Department efforts and obligations with respect to other banking regulations and guidance such as, among others, those relating to anti-tying, Regulation YY and applicable SR letters; and

• Working with the Legal Department to address requirements under new and existing banking regulations and statutes;

• Reports to and supports the Head of Compliance, SG Americas