Financial institution Regulatory Compliance Officer


Job title: Financial institution Regulatory Compliance Officer

Firm: Société Générale

Job description: Obligations

Obligations embrace helping the Head of Financial institution Regulatory Compliance in offering oversight of SGUS lending and deposit enterprise exercise via:

Advising and helping the SGUS companies on the applicability of banking guidelines to transaction buildings or enterprise actions, and supply recommendation on growth of inside controls and procedures

Helping workforce within the creation and efficiency of 2nd line monitoring controls to detect and mitigate financial institution regulatory compliance danger

Helping workforce within the creation and upkeep of periodic Compliance reporting and shows

Reviewing insurance policies, procedures, and coaching materials to advertise the applicability of financial institution laws and management framework to establish and mitigate danger

Carry out periodic shows and coaching to Compliance Senior Administration, Compliance Advisory friends, and the enterprise, as obligatory

Participating with the Compliance Regulatory Change workforce, the Authorized and Threat Departments to watch U.S. banking laws with an impression on SGUS banking exercise

Revising related Financial institution Regulatory Compliance owned insurance policies and procedures as relevant guidelines and laws or agency practices change

Taking part in particular tasks in assist of the bigger Compliance Regulatory Oversight workforce.

Profile required


Posses an understanding of assorted U.S. financial institution regulatory necessities, together with however not restricted to Regulation W, Anti-Tying, and Regulation B.

Skill to know and talk with topic issues consultants and stakeholders with respect to financial institution regulatory compliance necessities and different U.S. authorized and regulatory subjects

Sturdy interpersonal and written/verbal communication abilities

Sturdy analytical, problem-solving and organizational abilities

Nice consideration to element

Able to dealing with a number of ad-hoc requests or tasks

Demonstrated historical past of taking initiative

Skill to prioritize and work in a dynamic, deadline-focused setting

Analytical functionality: Capable of break down advanced issues into easy manageable models, develop options for every unit, and combine them again into the entire. Can take up concepts shortly and apply then pragmatically

Outcomes oriented: setting targets and priorities that maximize using assets obtainable to persistently ship high quality outcomes

Sturdy interpersonal effectiveness: is conscious of personal habits and work model, in addition to tolerant of various wants and viewpoints. Demonstrates curiosity in others’ opinions and exhibits consideration, concern and respect for different individuals’s emotions

Communication Abilities: glorious verbal, writing and presentation abilities with the flexibility to work together with stakeholders in any respect ranges throughout the group and have the ability to relay advanced technical idea to non-technical viewers

Management: create an inspiring imaginative and prescient, set course and inspire others to observe that course and attain that imaginative and prescient

Technical Abilities & Data:

Superior expertise with Microsoft Phrase, Excel, and PowerPoint

Glorious writing and presentation abilities

{Qualifications} (Expertise, Training, Languages):

Bachelors Diploma

JD or different superior diploma a plus

5+ years expertise in Monetary Providers or associated business

Enterprise perception

As a enterprise associate and a second line of protection, the SG Americas Compliance Division helps the Enterprise Items and Help Capabilities in finishing up banking actions in accordance with laws and guaranteeing the sustainable growth of our enterprise actions. Société Générale within the Americas is current in the US, Canada and Brazil the place it focuses totally on company and funding banking actions. SG additionally operates in a number of Latin American nations the place it affords a spread of specialised banking and monetary providers. Along with funding banking, SG within the Americas affords international transaction banking, securities providers and tools financing. Within the U.S., the providers are provided via our New York department, broker-dealer and different associates.

In its function, the Compliance Division contributes totally to the optimistic impression that Société Générale needs to have on the transformation of our societies. Due to this fact, stopping market misconduct, combating cash laundering, and thwarting the financing of terrorism and corruption are all duties that fall throughout the scope of compliance and contribute to the optimistic transformation of our economies.

The Compliance Division ensures:

  • Compliance with legal guidelines, guidelines and moral ideas particular to banking actions and funding providers undertaken by the agency, in addition to compliance with workers members’ private guidelines of fine conduct and ethics;
  • Consciousness-raising and coaching of all gamers in stopping non-compliance and reputational dangers.

Inside a strong governance and danger administration framework, the Compliance Division gives experience in Enterprise Advisory, Monetary Crime prevention, Banking, Securities and different relevant laws, communications and commerce surveillance, Second Line testing and monitoring and compliance danger evaluation. As a part of a worldwide monetary establishment offering providers throughout jurisdictions, we additionally cooperate intently every day with our Head-Workplace and international associates to make sure compliance with the laws within the nations the place we function and to handle cross-border regulatory issues.


Anticipated wage:

Location: New York

Job date: Solar, 24 Jul 2022 07:40:40 GMT

Apply for the job now!

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