Registration Compliance Officer
Job description
The Compliance Department at Société Générale is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm’s banking and financial activities, particularly in the areas of anti-money laundering, anti-terrorism financing, sanctions & embargoes, know-your-customer obligations, client protection, market integrity, anti-bribery & corruption, data protection and client tax transparency.
The Compliance Department enables the firm to operate according to essential compliance standards, ensures that Société Générale’s non-compliance and reputation risks are controlled, while supporting the business with existing activities and with the development of new products or services.
Compliance acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spread a culture of compliance within the Group.
TEAM OVERVIEW:
The US Central Compliance team is seeking an additional resource in the Firm’s Montreal office to support the U.S. operations. This is an exciting opportunity to join the team where you will be working in a key area of Société Générale’s Compliance program interacting with regional and global colleagues and across various business units to mitigate regulatory and reputational risks.
What will be your DAY-TO-DAY?
The candidate will participate in:
- Coordinate closely with Compliance, Human Resources and Legal teams to manage regulatory pre-hire, onboarding and offboarding processes for the US Broker-Dealer associated persons.
- Partner closely with Compliance, Front Office, Human Resources, Legal, Finance and Operations teams for regulatory alignment and operational efficiency related to onboarding licensed new hires in the US.
- Prepare and maintain regulatory documentation, reporting, and compliance governance metrics for internal oversight and regulatory readiness.
- Work closely with IT to assess technology initiatives and potential system enhancements for greater program efficiency.
- Assist with new business initiatives, challenge potential risks and evaluate their impact on program.
- Monitor, maintain, and renew registration records so that regulatory obligations are met accurately and timely.
- Support the review and analysis of new and amended industry rules and regulations and help assess their applicability to the program.
- Prepare and submit regulatory filings for the US broker/dealer and US associated persons including Form U4 and U5s, NFA 8R and 8T, and Form BD and ADV.