Chief Compliance Officer, Registered Investment Advisor

Responsibilities:

• Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale in the Americas to ensure compliance with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules and regulations.
• Provide compliance and regulatory advice and serve as a subject matter expert across the organization concerning RIAs and related entities.
• Identify and prioritize compliance and regulatory risks associated with the RIAs, and provide pragmatic solutions and strategic direction to maintain compliance.
• Develop and implement policies and procedures, including monitoring and addressing regulatory and industry changes.
• Develop and conduct training on relevant compliance topics.
• Administer the RIAs Code of Ethics and ensure compliance issues are addressed appropriately.
• Liaise closely with business and Compliance and Legal to manage conflicts of interest.
• Coordinate internal audits, and federal and state regulatory exams, inquiries, and investigations.
• Work closely with senior leaders to provide guidance on compliance with regulatory requirements.
• Contribute to compliance, business, and organization special projects.
• Partner effectively with other Compliance and Operational Risk teams.
• Perform other duties related to the RIA Compliance function as determined by the RIA CEO or its Board.

Skills and Qualifications:

Must Have:

• 10+ years of compliance experience in the financial services industry, including working with an investment advisory program.
• Solid understanding of the Investment Advisors Act of 1940 and related securities laws and regulations.
• Experience in implementing and/or maintaining a risk-based compliance program for a growing RIA.
• Proven track record of leadership, strategic thinking, and collaboration with business partners.
• Ability to multi-task and provide guidance in time-sensitive situations.
• Ability to work independently and as part of a team.
• Excellent organization, analytical, and communication skills.
• Attention to detail.
• Strong interpersonal skills; must be a team player.
• Strong work ethic and professionalism.
• Bachelor’s Degree.

Nice to Have:

• JD or MBA (may also be considered instead of some experience).
• Experience building an RIA compliance program.
• Speak French.

Why join us:

OUR CULTURE:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, and innovation.

D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce.

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that promotes interaction and collaboration.

COMPENSATION & SALARY RANGE:
Base salary range does not include overtime pay, bonus, and/or other benefits.