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Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor - Compliance, United States
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- Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
- Partner effectively and work closely with other Compliance and Operational Risk teams, including the Control Room, Regulatory Change and Policy; Licensing and Registration; Personal Account Dealing, including Outside Business Activities and Personal Investments; Surveillance; Political Contributions, Gifts & Entertainment, Third Party Risk Management; and the AML program.
- The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Société Générale's operations, reporting on the compliance risks and issues to local, regional, and head office management.
- The department oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection.
- Experience in implementing and/or maintaining a risk-based compliance program for a growing RIA including testing, monitoring, risk assessment and reporting.
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