Societe Generale · 5 days ago
Business Coverage Compliance Officer – Prime Services and Support Functions
New York, United States
Full-time
Hybrid
Mid Level
$126K/yr - $212K/yr
3+ years expSociete Generale is a global banking and financial services company, and they are seeking a Business Coverage Compliance Officer to provide Compliance support to US Support Functions and Prime Services Securities teams. The role involves developing controls and procedures to mitigate regulatory risks, advising on regulatory requirements, and training teams on relevant rules and regulations.
Asset ManagementBankingFinancial ServicesInsurancePersonal Finance
Responsibilities
Provide Compliance support to US Support Functions including Operations and Finance as well as Prime Services Securities teams in developing appropriate controls and procedures to mitigate business and product specific regulatory risks
Advise on regulatory requirements related to Operational processes including SEC and FINRA Margin Rules
Knowledge of regulations associated with US Securities Operations and Prime Brokerage businesses
Partner with business and support functions to formalize plans for business expansion
Assist in preparing applications required for regulatory approvals
Work closely with other Compliance teams on the implementation of regulatory initiatives
Train business and operations support teams on relevant rules and regulations
Update Compliance policies and procedures to address current rules, regulations, and business model
Assist in the responding to regulatory inquiries and regulatory examinations, audits and preparing compliance risk assessments
Qualification
Required
At least 3 years of relevant financial industry experience in Compliance, including experience providing Compliance support to a US Equity Prime Brokerage business
Knowledge of regulations governing securities operations, prime services and margin control processes
Experience working directly with Operations and Technology teams
Ability to analyze complex situations and provide guidance in time sensitive situations
Ability to multi-task in a fast-paced environment
Bachelor's degree
Language(s) English
Preferred
Securities industry registrations (e.g., Series 7, 24)
Advanced degree (e.g., J.D, MBA)
Benefits
401(k) plan with company match
Medical/dental/vision
Other benefits for fertility
Wellness
Student loans
Commuters
Company
Societe Generale
Societe Generale is a financial services organization that offers retail, corporate, and investment banking services.
10001+ employees
H1B Sponsorship
Societe Generale has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (9)
2024 (9)
2023 (4)
2022 (7)
2021 (18)
2020 (19)
Funding
Current Stage
Public CompanyTotal Funding
$111.84M2024-07-15Post Ipo Debt· $26M
2023-12-04Post Ipo Debt· $10.84M
2021-10-01Post Ipo Debt· $15M
Leadership Team
Jerome Niddam
CEO, Asia Pacific
Stephane About
Chief Executive Officer
Recent News
WSJ.com: Markets
2026-01-23
Company data provided by crunchbase