Investment Banking Compliance Specialist
7 days ago
Job Title: Compliance Officer for Investment Banking
Division: Corporate and Investment Banking
Location: New York City
Job Type: Full-time
About the Role:
The Compliance department at Societe Generale acts as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities across our operations. We report on compliance risks and issues to local, regional, and head office management.
As a Compliance Officer for Investment Banking, you will provide regulatory and Firm compliance policy advice/guidance to Equity Capital Markets, Debt Capital Markets, and Syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls.
Key Responsibilities:
- Provide regulatory and compliance advice/guidance to Equity Capital Markets, Debt Capital Markets, and Syndicate teams, and management.
- Identify and prioritize regulatory and compliance risks associated with Capital Markets.
- Develop and implement relevant compliance policies and procedures.
- Develop and conduct relevant training.
- Coordinate with business, Control Room, and Legal regarding the Firm's information barrier policy, and to manage conflicts of interest.
- Coordinate with internal audit and testing teams, as well as regulators/regulatory responses.
- Provide guidance to business management with respect to supervision structure, process, and responsibilities.
- Coordinate compliance issue management, escalation, and reporting.
Requirements:
- At least 5-7 years relevant financial industry experience related to capital markets activities.
- Experience in compliance advisory for capital market activities, preferably equity-related.
- Proficient understanding of U.S. securities laws, rules, and regulations regarding capital markets.
- Experience in providing legal, regulatory, or compliance advice in connection with investment banking advisory engagements and transactions.
- Ability to interact effectively with business management, and senior investment bankers, while working independently.
- Ability to analyze complex situations and provide guidance in time-sensitive 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 a team player.
- Adaptability and flexibility in a changing environment.
Why Join Us:
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.
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.
Our Culture:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, and innovation.
Our Diversity & Inclusion Mission:
We 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.
Hybrid Work Environment:
We offer 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 & Salary Range:
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.
-
New York, New York, United States Societe Generale Corporate and Investment Banking - SGCIB Full timeJob Summary:The Compliance department at Societe Generale Corporate and Investment Banking - SGCIB acts as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities across our operations. We report on compliance risks and issues to local, regional, and head office management.We provide the business lines with guidance...
-
New York, New York, United States Bridgepoint Investment Banking Full timeWHO WE AREAt Bridgepoint Investment Banking, we're a dynamic team of professionals dedicated to delivering exceptional results for family and founder-owned businesses. Our focus on integrity and core values drives our commitment to providing full-service investment banking solutions across the country.We're passionate about creating a vibrant and dynamic...
-
Compliance Specialist
2 weeks ago
New York, New York, United States Natixis Corporate & Investment Banking Full timeJob SummaryWe are seeking a highly skilled Compliance Specialist to join our CIB Americas Financial Crimes Compliance team. The successful candidate will be responsible for ensuring the firm's compliance with global policy and applicable laws and regulations.Key ResponsibilitiesProvide clear and timely compliance guidance to vetting teams and front office on...
-
Investment Banking Compliance Expert
4 weeks ago
New York, New York, United States Larson Maddox Full timeSenior Compliance Manager - Investment BankingLarson Maddox is seeking an experienced Senior Compliance Manager to join our Investment Banking team. As a key member of our Compliance function, you will provide specialist advice and guidance to senior leaders and key stakeholders in our Equity Capital Markets business.Key Responsibilities:Provide Compliance...
-
Senior Compliance Manager
4 weeks ago
New York, New York, United States Larson Maddox Full timeSenior Compliance Manager - Investment BankingLarson Maddox is seeking a seasoned Compliance professional to join our Investment Banking team as a Senior Compliance Manager. This role will provide specialist Compliance advice and guidance to senior leaders and key members of our growing Investment Banking business, with a focus on Equity Capital Markets...
-
Senior Compliance Manager
2 months ago
New York, New York, United States Larson Maddox Full timeJob SummaryLarson Maddox is seeking a highly experienced Senior Compliance Manager to join our Investment Banking team. As a key member of our Compliance department, you will provide specialist Compliance advice and guidance to senior leaders and key members of our growing Investment Banking business.About the RoleThe Senior Compliance Manager will be...
-
Compliance Officer
2 weeks ago
New York, New York, United States Phaxis Full timeCompliance Officer - Investment BankingPhaxis is seeking a seasoned Compliance Officer to support our Investment Banking and Broker Dealer client in an advisory capacity. The ideal candidate will have extensive knowledge of correspondent clearing and prime services activities, as well as a strong understanding of institutional fixed income trading.Key...
-
Investment Banking Specialist
1 month ago
New York, New York, United States Intesa Sanpaolo Group Full timeJob Title: Investment Banking SpecialistIntesa Sanpaolo Group is seeking a highly skilled Investment Banking Specialist to join its team in New York. As a key member of the Equity Capital Markets team, you will be responsible for originating and executing Equity Capital Markets transactions from corporate or financial institution clients.Main...
-
Investment Banking Compliance Officer
3 weeks ago
New York, New York, United States Societe Generale Full timeJob DescriptionSociete Generale is seeking a highly skilled Capital Markets Compliance Officer to join our team in New York City. As a key member of our Investment Banking Coverage Compliance team, you will be responsible for providing regulatory and compliance advice to our Capital Markets business, including Equity Capital Markets and Syndicate teams.Key...
-
Investment Compliance Specialist
1 week ago
New York, New York, United States A. Solomon Recruits Full timeA. Solomon Recruits is seeking a skilled Investment Compliance Specialist to support their Global Compliance Team in overseeing the compliance of the asset management business. The successful candidate will monitor client portfolios and perform daily compliance checks in accordance with relevant regulatory and internal policies.Key Responsibilities:Support...
-
Investment Compliance Specialist
7 days ago
New York, New York, United States PineBridge Investments Full timeAbout the Role:PineBridge Investments is seeking a highly skilled Investment Compliance Specialist to join our Global Compliance Team. As a key member of the team, you will be responsible for monitoring client portfolios and performing daily compliance checks to ensure adherence to relevant regulatory and internal policies and procedures.Key...
-
Investment Compliance Specialist
1 week ago
New York, New York, United States PineBridge Investments Full timeAbout the Role:PineBridge Investments is seeking a highly skilled Investment Compliance Specialist to join our Global Compliance Team. As a key member of the team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key Responsibilities:Monitor client portfolios and perform daily...
-
Investment & Trade Compliance Specialist
2 weeks ago
New York, New York, United States PineBridge Investments Full timeJob Title: Investment & Trade Compliance SpecialistPineBridge Investments is seeking a highly skilled Investment & Trade Compliance Specialist to join our team. As a key member of our Global Compliance Team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key...
-
Investment Banking Specialist
2 weeks ago
New York, New York, United States eFinancialCareers Full timeInvestment Banking SpecialisteFinancialCareers is seeking a highly motivated and experienced Investment Banking Specialist to join their Restructuring and Special Situations team. The ideal candidate will have a strong background in financial analysis, restructuring, and special situations advisory.Key Responsibilities:Conduct detailed financial analysis and...
-
Investment Banking Analyst
2 weeks ago
New York, New York, United States Crédit Agricole Corporate and Investment Bank Full timeJob Title: Investment Banking AnalystWe are seeking a highly skilled Investment Banking Analyst to join our team at Crédit Agricole Corporate and Investment Bank. As an Investment Banking Analyst, you will be responsible for supporting the origination and execution of Mergers & Acquisitions and Equity Capital Markets transactions.Key...
-
Compliance Officer, Investment Banking
1 month ago
New York, New York, United States JCW Full timeSenior Compliance - Investment BankingLocation: New York, NY (hybrid)Overview:We are seeking an experienced senior regulatory compliance professional to join our M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in complex...
-
Compliance Officer, Investment Banking
1 month ago
New York, New York, United States JCW Full timeSenior Compliance - Investment BankingLocation: New York, NY (hybrid)Overview:We are seeking an experienced senior regulatory compliance professional to join our M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in complex...
-
Investment Compliance Specialist
2 weeks ago
New York, New York, United States PineBridge Investments Full timeJob Summary:PineBridge Investments is seeking a highly skilled Investment & Trade Compliance professional to join our team. As a Senior Associate/Vice President, you will play a critical role in ensuring the compliance of our asset management business with relevant securities laws and regulations.Key Responsibilities:• Support the Head of Global Investment...
-
Investment Compliance Specialist
1 month ago
New York, New York, United States PineBridge Investments Full timeAbout the RolePineBridge Investments is seeking a highly skilled Investment & Trade Compliance Senior Associate/Vice President to join our Global Compliance Team. As a key member of our team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key ResponsibilitiesSupport the Head...
-
Investment Compliance Specialist
1 week ago
New York, New York, United States A. Solomon Recruits Full timeA. Solomon Recruits is seeking a highly skilled Investment Compliance Specialist to join their Global Compliance Team. The successful candidate will be responsible for monitoring client portfolios and performing daily compliance checks in accordance with relevant regulatory and internal policies and procedures.The ideal candidate will have a strong...