Futures Surveillance Compliance Associate , Chicago

Job description

Division Description

Wholesale Banking is the primary investment banking division of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia, Wholesale Banking provides corporate, financial institutions, investors, and public-sector clients with value-added integrated financial solutions. The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management.

The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The Department oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection.

Additionally, it conducts trade and communications surveillance, and manages transversal support functions that help the Department achieve its goals.

Trade Surveillance alerts review

• Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
• Participate in the development, testing and implementation of new and existing Trade Surveillance controls. ;
• Perform user acceptance and reasonability testing of Trade Surveillance controls;
• Contribute to the preparation management metrics and reporting; Projects participation:
• Participate in regional and global compliance initiatives and investigations;
• Review and analyze new and/or amended industry rules and regulations;
• Assess new business initiatives and their potential impact to the Trade Surveillance program