Head of SGUS Anti-Bribery and Corruption Compliance Head of SGUS Anti-Bribery and Corruption  …

SOCIETE GENERALE
in New York, NY, United States
Permanent, Full time
Last application, 17 Jun 19
Competitive
SOCIETE GENERALE
in New York, NY, United States
Permanent, Full time
Last application, 17 Jun 19
Competitive
Head of SGUS Anti-Bribery and Corruption Compliance
Environment

The 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.

Mission
Responsibilities include, but are not limited to:

  • Lead the implementation and management of the SGUS Anti-Bribery and Corruption Compliance Program based on a risk assessment of the Firm's vulnerabilities and in collaboration with various stakeholders
  • Contribute to Group wide remediation project;
  • Implement best practices for Anti-Bribery and Corruption Program governance, policy development, risk assessment, oversight over anything of value (e.g., gifts and entertainment, charitable contributions, political contributions), third party oversight, training, monitoring, exam coordination and policy enforcement
  • Provide advice on anti-bribery and corruption issues as they relate to the U.S. Foreign Corrupt Practices Act. Coordinate with other Compliance teams on requirements under Sapin II, the UK Bribery Act, and other relevant laws, rules and regulations.
  • Review and approve gifts and entertainment and charitable contributions involving government officials and certain higher risk private parties as needed
  • Conduct periodic reviews of the SGUS Anti-Corruption Policy including coordination with the appropriate business and support functions
  • Identify and coordinate updates of related policies and procedures (e.g., Gifts and Entertainment, Political Contributions, Payments of Fees and Commissions to Third Parties and various sourcing and employment related policies and procedures)
  • Serve as subject matter expert on SGUS hiring and third party due diligence practices and procedures
  • Engage with human resources and sourcing in connection with the vetting of employee, intern, and contractor candidates that may be related or referred to SG or its subsidiaries or affiliates.
  • Support compliance monitoring with policy controls and remediation efforts
  • Lead anti-bribery and corruption related initiatives
  • Provide training on Anti-Bribery and Corruption risk and controls
  • Assist in maintaining and enhancing the global anti-corruption and bribery policies and procedures
  • Maintain or develop, as necessary, procedures and other guidance documents


  • Profile

    Competencies:
  • 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 pragmatically
  • Risk Management
  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
  • Strong 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 feelings
  • Communication 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 audience
  • Leadership: 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 PowerPoint
  • Excellent writing skills
  • Securities licenses a plus

  • Qualifications (Experience, Education, Languages):
  • Knowledge of the U.S. Foreign Corrupt Practices Act, U.K. Bribery Act, and other anti-corruption regulatory regimes
  • Bachelors Degree
  • JD preferred
  • 8-10 + years of financial services experience in compliance or related position a plus


  • Evolution
    Societe Generale is a global financial institution and one of the largest foreign corporate and investment banks. As such, it has a diverse population which fosters opportunity to collaborate with colleagues in different countries as well as access to international mobility. The firm recently unveiled its new brand platform "The Future is You" which not only demonstrates its commitment and responsibility to its clients, but also to its employees as their ideas and actions can make an impact on the direction of the organization. The Societe Generale U.S. Compliance Department is looking to hire individuals in Montreal as an extension of its U.S. team in the following divisions: Financial Crime Compliance, Digital Transformation Office, Testing, Monitoring & Risk Assessment and Capital Markets Surveillance. These individuals will be provided training by U.S. staff and will assist the team with day-to-day responsibilities on projects and deliverables for the Americas (U.S., Canada and Brazil) region.
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