Chief Compliance Officer, Registered Investment Advisor - Senior Compliance AdvisorPermanent contractNew York, United States

Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor

Permanent contract New York Compliance

Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor

• New York, United States
• Permanent contract
• Compliance

Responsibilities

RESPONSIBILITIES :

• 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.
• Provide compliance and regulatory advice / guidance and serve as a subject matter expert across the organization concerning RIAs and related entities.
• Identify and prioritize compliance and regulatory risk associated with the RIAs, as well as identify challenges for the organization, and provide pragmatic solutions and strategic direction to ensure remain compliant.
• Develop and implement policies and procedures, including monitoring and addressing regulatory and industry changes, and potential impact to the organization’s compliance obligations, as well as adapting to the evolving business needs.
• Develop and conduct training, especially as new rules and regulations are established to stay knowledgeable on all relevant compliance topics.
• Administer the RIAs Code of Ethics and ensure compliance issues are addressed appropriately.
• Liaise closely with business and Compliance and Legal to manage conflicts of interest.
• Coordinate internal audits, and federal and state regulatory exams, inquiries, and investigations, as well as various regulatory filings.
• Work closely with senior leaders, including attend / participate as a member in various business meetings to provide guidance to the business with respect to day-to-day processes and big picture strategy to ensure compliance with all relevant regulatory requirements and responsibilities, to avoid compliance and reputational issues, and prevent violations which could harm investors.
• Contribute to other compliance, business, and organization special projects to ensure objectives are achieved.
• 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.

Profile required

DIVISION DESCRIPTION :

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 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 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.

Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.

SKILLS AND QUALIFICATIONS :

Must Have :

• Solid understanding of the Investment Advisors Act of 1940, and related securities laws and regulations.
• Experience in implementing and / or maintaining a risk-based compliance program for a growing RIA including testing, monitoring, risk assessment and reporting.
• Proven track record of leadership, strategic thinking, building positive relationships and successful collaboration with business partners.
• Ability to multi-task, analyze complex situation and provide guidance in time sensitive situations.
• Ability to work independently as a member of a team, which includes the ability to be flexible and adaptable in a changing environment
• Excellent organization, analytical and communication skills.
• Attention to detail.
• Strong interpersonal skills; must be a team player.
• Strong work ethic and professionalism, including ability to maintain a high degree of confidentiality
• Bachelor’s Degree
• 10+ years of compliance experience in financial services industry, including working with an investment advisory program.

Nice to Have :

• JD or MBA (may also be considered instead of some experience)
• Experience building an RIA compliance program
• Securities licenses
• Speak French
30+ days ago