Compliance Advisory Officer - Insurance Solutions

About the role

The Corporate and Investment Banking division of Societe Generale is seeking a Compliance Advisory Officer to assume compliance coverage responsibility for the Insurance Solutions business line in the Americas. The position is based in the New York City office and sits within the US Compliance Department, specifically on the Investment Banking and Advisory and Conflicts Management team.

Responsibilities

• Provide regulatory and Firm compliance policy advice/guidance to the Insurance Solutions team and management on issues related to a reinsurance brokerage business, including sidecars.
• Identify and prioritize regulatory and compliance risks associated with insurance, develop and execute the compliance program, and conduct periodic compliance risk assessments (e.g., insurance licenses, registrations, payments, internal controls and other typical global investment bank issues).
• 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 and to manage conflicts of interest.
• Coordinate with internal audit and testing teams, as well as regulators and regulatory responses.
• Provide guidance to business management concerning supervision structure, process, and responsibilities.
• Coordinate compliance issue management, escalation, and reporting.
• Effectively partner and work closely with other Compliance teams, including Control Room; Bank Regulatory; Regulatory Change; Policy; Licensing and Registration; Personal Account Dealing (including Outside Business Activities and Personal Investments); and Surveillance.
• The successful candidate must have proficient knowledge of the rules and regulations relating to US and foreign insurance operations.
• An overall solid working knowledge of how global financial institutions function, including investment banking, is essential.
• Ability to collaborate with the Firm’s Compliance Advisory teams in Paris, London, and Hong Kong will be required.

Requirements

At least 10 years of relevant experience at an insurance company, investment bank covering insurance, or equivalent in a compliance advisory capacity specializing in insurance.

Qualifications

Bachelor’s degree required; JD preferred.

Skills

• Experience providing legal, regulatory, or compliance advice related to insurance regulatory frameworks, filing, and risks associated with business engagements and transactions.
• Proficient understanding of securities regulation and information barrier/conflicts clearance practices.
• Ability to interact effectively with business management and senior investment bankers while working independently.
• Ability to analyze complex situations and provide guidance in time‑sensitive situations.
• Resolve issues quickly and effectively.
• Ability to multi‑task in a fast‑paced environment.
• Excellent organizational, oral, and written communication skills.
• Attention to detail.
• Strong interpersonal skills; must be a team player.
• Strong work ethic and professionalism.
• Desire to learn.
• Adaptability and flexibility in a changing environment.

Benefits

• Competitive benefits package including 401(k) plan with company match.
• Medical, dental, and vision coverage.
• Additional benefits for fertility, wellness, student loans, and commuters.

Pay

Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience. The role is eligible for an annual discretionary bonus.