Equity and Equity Derivatives (“EQD”) Compliance Advisor

Job description

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. Responsibilities include, but are not limited to: Assist Senior Advisory staff in providing compliance guidance and support to EQD business lines, firm management, support functions and compliance teams.

Assist in the creation, implementation, and execution of the training program for all related compliance matters to the EQD business lines, support functions and compliance support staff on relevant rules and regulations. Assist and where necessary update Compliance Policies and Procedures to be current with FINRA/SEC rules, regulations and business model. Assist in the response of regulatory inquiries and provide support during regulatory examinations.

Work closely with Senior Advisory staff, IT and Operations personnel on the implementation of regulatory initiatives. Compliance Advisor will cover the following areas of the business: Equity, Equity Derivatives and Futures Work with relevant stakeholders on the team to provide compliance guidance on new product initiatives impacting the EQD space. Conduct quarterly reviews of EQD business unit trade activity, as well as marketing material, in an effort to identify potential compliance issues.

Support and execute the Compliance Risk Assessment process for the EQD Advisory Team. Assist in the design, when new or amended regulation is enacted, and support the maintenance of the written supervisory procedures applicable to the EQD business units.