Full Job Description
ResponsibilitiesThe 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 personnel, and conducts compliance training. In addition, the 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.Responsibilities include, but are not limited to: Assist Senior Advisory staff in providing compliance guidance and support to EQD business lines, firm management, support functions and compliance teams. Assist in the creation, implementation, and execution of the training program for all related compliance matters to the EQD business lines, support functions and compliance support staff on relevant rules and regulations. Assist and where necessary update Compliance Policies and Procedures to be current with FINRA/SEC rules, regulations and business model.Assist in the response of regulatory inquiries and provide support during regulatory examinations. Work closely with Senior Advisory staff, IT and Operations personnel on the implementation of regulatory initiatives.Compliance Advisor will cover the following areas of the business: Equity, Equity Derivatives and FuturesWork with relevant stakeholders on the team to provide compliance guidance on new product initiatives impacting the EQD space. Conduct quarterly reviews of EQD business unit trade activity, as well as marketing material, in an effort to identify potential compliance issues. Support and execute the Compliance Risk Assessment process for the EQD Advisory Team.Assist in the design, when new or amended regulation is enacted, and support the maintenance of the written supervisory procedures applicable to the EQD business units.Profile requiredCompetencies: Strong interpersonal and written/verbal communication skills.Strong analytical, problem-solving and organizational skills.Great attention to detail.Capable of handling multiple, simultaneous, and various ad-hoc requests.Demonstrated history of taking initiative.Ability to prioritize and work in a dynamic, deadline-focused environment.Analytical capability: Able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole. Can absorb ideas quickly and apply then pragmaticallyRisk ManagementResults oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality resultsStrong interpersonal effectiveness: is self aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelingsCommunication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audienceLeadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision Technical Skills & Knowledge:Advanced experience with Microsoft Word, Excel, and PowerPointExcellent writing skillsSecurities licenses a plus Qualifications (Experience, Education, Languages):Bachelors DegreeCandidate should have a minimum of 5 years' experience in Compliance, with a focus or dealing with equity and/or equity derivative rules and regulations.Ability to assist and support CPLE staff in providing advice to front office staff on a wide range of product offerings. COMPENSATION: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. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.
