Head Of Sgus Anti-Bribery And Corruption Compliance

Societe Generale New York , NY 10007

Posted 11 months ago


The SGUS Compliance Department monitors the corporate banking, investment banking and brokerdealer 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 brokerdealer 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:

  • 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



  • 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 &

  • 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


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.

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
AntiFraud Bribery And Corruption Officer Vice President

Deutsche Bank

Posted 2 days ago

VIEW JOBS 2/20/2020 12:00:00 AM 2020-05-20T00:00 Job Description: Job Title: Anti-Fraud, Bribery and Corruption Officer Corporate Title: Vice President Location: New York, NY Overview As the Anti-Fraud, Bribery & Corruption (AFBC) Advisory Officer in our NY AFC team you will be required to manage a team of Assistant Vice Presidents plus complete high volume, high risk, ABC matters. The US Department of Justice and the HK regulators continue to investigate Deutsche Bank's ABC program. In addition, AFBC Americas has a number of audit deliverables that need to be met. This is a demanding and rewarding role that will give you the opportunity to thrive and deliver in a passionate and unique work environment. What We Offer You: * We offer competitive health and wellness benefits, empowering you to value life in and out of the office * Retirement Savings Plans, Parental Leave, and other family-friendly programs * On-site cafeteria, health center, and communal meeting areas * Active engagement with the local community through Deutsche Bank's specialized employee groups Hear from our people and look inside our office: DB@The Muse Your Role What You'll Do: * Implementing the Deutsche Bank Group Anti-Fraud and Anti-Bribery and Corruption Policies across all Business Divisions and Infrastructure Functions in the region * Provide advice and guidance on various areas including charitable donations, memberships and sponsorships, relationships with third parties, business transactions, joint ventures, and hiring practices * Assist with inspections, reviews and inquiries undertaken by regulators relating to AFBC as well as assist in tracking emerging AFBC related legislation and regulation * Supporting the Head of AFBC Investigations, Americas in fostering collaboration within the Global AFBC team and to ensure consistency of approach by working closely with the other regional AFBC teams around the world * Participating in financial crime risk assessments and support the formulation and execution of anti-fraud, bribery and corruption, as well as other financial crime, related trainings to Deutsche Bank employees * Supporting the Regional Head of AFBC, Americas in ensuring that internal policies owned by AFBC are fit for purpose from a regional perspective How You'll Lead: * Manage a team of AVPs * Assisting with the recruitment and training of staff, as appropriate * Building relationships with stakeholders within all Business Divisions and Infrastructure Functions in the region, providing support relative to the management of AFBC related risk Skills You'll Need: * University Degree (preferably law or criminology) or comparable qualifications. A graduate level law degree is strongly preferred * Ideally an existing Financial Crime professional with a background and strong knowledge of bribery and corruption laws and regulations * Strong knowledge of bribery and corruption related systems, controls and preventative measures, including experience in conducting financial crime risk assessments and developing financial crime risk management frameworks * Investigation experience, including interaction with regulators, external auditors and other professionals in relation to managing/conducting investigations and mitigating financial crime risks Skills That Will Help You Excel: * Excellent drafting and analytical skills * Project management experience * Banking experience. A solid understanding of Deutsche Bank, its divisions, products and risk related processes is strongly preferred * Strong communication skills, including the ability to manage conflict situations and Fluent in English. Fluency is German and/or Portuguese is a plus Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer. We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation. Click here to find out more about our diversity and inclusion policy and initiatives. We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision. Deutsche Bank New York NY

Head Of Sgus Anti-Bribery And Corruption Compliance

Societe Generale