The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer 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 broker–dealer 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:

· Provide and assist the Compliance Advisory staff in providing real time compliance support to the Fixed Income or Equity Divisions of SG Americas Securities (“SGAS”).

· Assist with matters related to SGAS’ various regulatory reporting requirements including (TRACE, LOPR, OCEND, CAT, TRF and Blue Sheets).

· Communicate with colleagues globally on matters related to the Firm’s Fixed Income and/ or Equity activities and its U.S. regulatory obligations.

· Work closely with IT and support staff on the implementation of regulatory initiatives.

· Assist and train the business line, support functions and compliance support staff on relevant rules and regulations.

· Update Compliance policies and procedures to be current with rules, regulations and business model.

· Assist in the response of regulatory inquiries and regulatory examinations.

· Provide assistance in the reviews of the Firm’s marketing material and communications.

· Monitor business activities and engage in active dialog with business unit personnel regarding Compliance impacts of their activities.

· Assist the SGAS Operational Risk Managers in the design and maintenance of written supervisory procedures.

· Communicate directly with traders and supervisors to assess risks and remediate issues.

· Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and/or amended regulations.

· Provide updates to other support areas in the Firm on new or amended rules that may impact the Fixed Income and/or Equity Divisions of SGAS.

· Provide advisory guidance to SGUS support functions in order to ensure compliant functionality of front and back-office tools.

· Serve as primary contact with other compliance functions in researching, resolving and advising as it relates to trade surveillance, audit or compliance testing matters.