Senior Futures Compliance Advisor- H/F/X

• Advise business lines on various exchange and regulatory rules to ensure procedures and trading processes are properly established.
• Respond to various exchange and regulatory inquiries which include government and subpoena requests.
• Manage and liaison with exchanges or regulatory bodies on subject reviews and exams.
• Conduct reviews of various Société Générale, SG Americas Securities Inc.(“SGAS”), (collectively “SG”) futures sales and trading desks, including those sales desks operating within SGAS’s business as a futures commission merchant (“FCM”) to ensure compliance with regulatory rules, SG policies, and identify risk within the sales and trading operation procedures.
• Develop and implement various compliance training programs and/or sessions.
• Ensure monitoring controls are in place, including processes for management of operational risk, in accordance with Company and regulatory standards.
• Work with other SG Departments and systems to identify any system enhancements that will reduce associated regulatory risks.
• Review advertising, sales literature and correspondence with customers to ensure material is in accordance with SRO rules and firm policies.
• Interact with SG affiliate Compliance Staff on global regulatory matters.
• Act as the SG Liaison between external Auditors and all SG Departments.
• Maintain familiarity with developments in CFTC and SRO rules, including awareness of changes and developments in applicable NFA and exchange rules and regulations.
• Assist with the performance of Compliance Risk Assessments for the FCM
• Assist in the development of the CCO Annual Report for the FCM
• Participate in the process of writing and managing updates to FCM Compliance policies and procedures

DIVISION DESCRIPTION:
The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s US operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department ensures compliance with US securities, banking, and anti-money laundering and sanctions regulations, oversees key processes and risks of the Know-Your-Customer program. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.

The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management. Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer and futures commission merchant personnel, and conducts compliance training. In addition, the SGUS Compliance Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations. The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations. Additionally, AML oversees key processes and risks of the KYC department.

SKILLS AND QUALIFICATIONS:
Must Have:

• 5 – 15 years of experience working as a Futures Compliance officer for a bank, broker or dealer or a futures commission merchant or a futures regulatory authority
• Bachelors Degree
• Strong interpersonal and written/verbal communication skills.
• Strong analytical, problem-solving and organizational skills.
• Ability to prioritize and work in a dynamic, deadline-focused environment.
• Compliance risk management assessment skills: experienced in the process of assessing the compliance risks associated with a business environment
• Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
• Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision
• Advanced experience with Microsoft Word, Excel, and PowerPoint

Nice to Have:

• NFA Futures license (Series 3) is not required but is considered a plus

OUR CULTURE:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. 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. 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.
For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)
D&I:
Our Diversity & Inclusion Mission: 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.

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)

HYBRID WORK ENVIRONMENT:
Societe Generale offers 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.

Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.