Compliance Officer – Swap Dealer Compliance Advisory

Responsibilities

The Compliance Department at Société Générale helps ensure the firm conducts its banking and financial activities in accordance with applicable laws, regulations, internal policies, and ethical standards. The department plays a critical role in safeguarding the firm by managing non‑compliance and reputational risks, while supporting the business in its day‑to‑day activities and strategic initiatives, including the development of new products and services.

As part of the firm’s second line of defense, Compliance partners closely with the business to establish clear frameworks, assess and monitor risks, provide guidance and training, and promote a strong culture of integrity and accountability across the Group.

Reference 26000JB8

The Compliance Department at Société Générale helps ensure the firm conducts its banking and financial activities in accordance with applicable laws, regulations, internal policies, and ethical standards. The department plays a critical role in safeguarding the firm by managing non‑compliance and reputational risks, while supporting the business in its day‑to‑day activities and strategic initiatives, including the development of new products and services.

As part of the firm’s second line of defense, Compliance partners closely with the business to establish clear frameworks, assess and monitor risks, provide guidance and training, and promote a strong culture of integrity and accountability across the Group.

The Compliance Department is seeking a Vice President‑level Compliance professional to support the global Swap Dealer Compliance Advisory team, providing coverage of Swap Dealer and Security-based Swap Dealer activities. The team serves as the Swap Dealer Compliance Office, responsible for the ongoing compliance oversight of the Compliance Program implemented by Société Générale SA (“SG SA”) as a CFTC-registered Swap Dealer (“SD”) and SEC-registered Security-Based Swap Dealer (“SBSD”).

The Swap Dealer Compliance Advisory team has a global mandate to proactively provide compliance and regulatory advisory services to Société Générale SA, acting through 14 dealing branches, including within Societe Generale in the United States (“SG US”). The Swap Dealer Compliance Advisory team is the principal point of contact for the US Commodity Futures Trading Commission (“CFTC”) and the National Futures Association (“NFA”) on swap dealer-related matters, the US Securities and Exchange Commission on security-based-swap-dealer related matters and as subject matter experts in respect of the Dodd-Frank Act (Title VII) (“DFA”), as applicable.

Being New York-based, the role requires close collaboration with colleagues based in the UK covering SD and SBSD matters and the functional manager of the team based in Paris.

Day‑to‑Day Responsibilities:

• Recommend and implement changes to the Societe Generale (“SG”) Swap Dealer (“SD”) and Security-based Swap Dealer (“SBSD”) Compliance Programs, including relevant policies, procedures and controls, on an ongoing basis;
• Provide robust, independent advice to SG Business Units/Service Units on DFA requirements;
• Collaborate with Compliance testing teams and other internal control functions to continually monitor, evaluate, establish and implement effective DFA Title VII-related policies, procedures and controls;
• Contribute to and review periodic reports that the Firm or Compliance management must make, either to SG DFA oversight forums or regulatory authorities;
• Work with Compliance colleagues on the development and coordination of ongoing training to employees on requirements impacting SG as an SD and SBSD;
• epresent Swap Dealer Compliance Advisory in firm-wide regulatory change programs/work streams by providing…