Registration Compliance Officer

Reference: 260008D5 Overview The Compliance Department at Société Générale is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm’s banking and financial activities, particularly in the areas of anti‑money laundering, anti‑terrorism financing, sanctions & embargoes, know‑your‑customer obligations, client protection, market integrity, anti‑bribery & corruption, data protection and client tax transparency. Team Overview The U.S. Central Compliance team is seeking an additional resource in the Firm’s Montreal office to support the U.S. operations.

This is an exciting opportunity to join the team where you will be working in a key area of Société Générale’s Compliance program interacting with regional and global colleagues and across various business units to mitigate regulatory and reputational risks. Day‑to‑Day Responsibilities Coordinate closely with Compliance, Human Resources and Legal teams to manage regulatory pre‑hire, onboarding and off‑boarding processes for the U.S. Broker‑Dealer associated persons.

Partner closely with Compliance, Front Office, Human Resources, Legal, Finance and Operations teams for regulatory alignment and operational efficiency related to onboarding licensed new hires in the U.S. Prepare and maintain regulatory documentation, reporting and compliance governance metrics for internal oversight and regulatory readiness. Work closely with IT to assess technology initiatives and potential system enhancements for greater program efficiency.

Assist with new business initiatives, challenge potential risks and evaluate their impact on the program. Monitor, maintain and renew registration records so that regulatory obligations are met accurately and timely. Support the review and analysis of new and amended industry rules and regulations and help assess their applicability to the program.

Prepare and submit regulatory filings for the U.S. broker‑dealer and U.S. associated persons including Form U4 and U5s, NFA 8R and 8T, and Form BD and ADV. Skills and Qualifications Bachelor’s degree. 3‑5 years of experience in compliance and/or the financial services industry. General knowledge of banking and broker‑dealer regulations and applicable regulatory frameworks.

Basic understanding of compliance and regulatory principles, with a strong interest in developing deeper regulatory expertise. Experience working in investment banking or a similar regulated financial environment. Strong analytical, problem‑solving and organizational skills, with the ability to manage detailed information accurately.

Exceptional attention to detail and accuracy in a highly regulated environment. Strong written and verbal communication skills, with the ability to collaborate effectively across teams. Ability to manage multiple priorities simultaneously in a fast‑paced, deadline‑driven environment.

Highly motivated to learn and grow, with training provided on U.S. regulatory requirements. Language Requirements Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States. Due to U.S.

Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third‑party vendor selected by the Financial Industry Regulatory Authority ("FINRA"). Benefits Minimum of 20 vacation days + 4 personal days. Supportive maternity, paternity, parental and adoption leave policy.

Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.). Fully sponsored virtual healthcare assistance and Employee Assistance Program for you and your immediate family. Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.

A culture of continuous development by encouraging employees through various training programs (online training and coaching platforms such as Coursera, GoFluent, Pluralsight, First Finance, and others). Hybrid Work Environment Societe Générale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on‑site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area.

The applicable business lines will determine and communicate the work arrangements that best meet their business needs. #J-18808-Ljbffr