Investment Banking Compliance Coverage Officer

Société Générale - New York, NY

Full-time - Mid Level

Hybrid - New York, NY

Credit Intermediation and Related Activities

About the position

The Investment Banking Compliance Coverage Officer will play a critical role in providing regulatory and compliance policy advice to the Equity Capital Markets, Debt Capital Markets, and Syndicate teams at Société Générale. This position is essential for ensuring adherence to compliance standards and managing risks associated with capital markets activities. The officer will be responsible for guiding management on issues related to underwriting, private placements, marketing, and selling securities offerings, as well as maintaining information barriers and other internal controls typical of a global investment bank. In this role, the officer will identify and prioritize regulatory and compliance risks associated with Capital Markets, aligning and executing the Capital Markets compliance program while conducting periodic compliance risk assessments. The officer will also develop and implement relevant compliance policies and procedures, conduct training, and coordinate with various teams including business units, Control Room, and Legal to manage conflicts of interest and ensure compliance with the Firm's information barrier policy. The successful candidate will work closely with internal audit and testing teams, as well as regulators, to provide guidance on supervision structures and processes. This position requires a proficient knowledge of the rules and regulations relating to US and foreign Investment Banking and Capital Markets operations, as well as the ability to collaborate with Compliance Coverage teams in Paris, London, and Hong Kong. The Compliance department acts as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities, overseeing compliance with external and internal rules governing banking and financial activities.

Responsibilities

• Provide regulatory and Firm compliance policy advice to Equity Capital Markets, Debt Capital Markets, and Syndicate teams.
• Identify and prioritize regulatory and compliance risks associated with Capital Markets.
• Align and execute the Capital Markets compliance program and conduct periodic compliance risk assessments.
• Develop and implement relevant compliance policies and procedures.
• Develop and conduct relevant training.
• Coordinate with business, Control Room, and Legal regarding the Firm's information barrier policy.
• Manage conflicts of interest and compliance issue management, escalation, and reporting.
• Effectively partner with other Compliance teams, including Control Room and Markets Compliance Coverage team.

Requirements

• At least 5-7 years relevant financial industry experience related to capital markets activities.
• Experience in compliance advisory for capital market activities, preferably equity-related.
• Proficient understanding of U.S. securities laws, rules, and regulations regarding capital markets.
• Experience in providing legal, regulatory, or compliance advice in connection with investment banking advisory engagements and transactions.
• Ability to interact effectively with business management and senior investment bankers.
• Ability to analyze complex situations and provide guidance in time-sensitive situations.
• Excellent organizational, oral, and written communication skills.
• Strong interpersonal skills and attention to detail.

Nice-to-haves

• JD
• Securities licensing

Benefits

• Hybrid work arrangement allowing flexibility to work remotely and on-site.
• Competitive salary range of $117,000 - $211,000 based on skills and experience.