Investment Banking Compliance Specialist

4 weeks ago

New York, New York, United States Societe Generale Full time
Job Description

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.

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