Counsel - Litigation, Enforcement & Investigations
Societe Generale
Legal
New York, NY, USA · New York, NY, USA
Posted on Sep 18, 2025
Responsibilities
In this position, the hired candidate will handle regulatory enforcement matters and litigations; civil, administrative and criminal subpoenas and requests for information; and a host or related legal tasks and functions. More specifically, this includes the following, among other things:
- Managing a docket of regulatory enforcement and litigation matters, and advising and consulting the relevant business lines/management on these matters
- Handling regulatory enforcement inquiries and investigations, primarily from FINRA and the exchanges/execution venues of which SG entities are members, the SEC, the CFTC, and other relevant entities
- Managing counsel (in those matters when external counsel is brought in) throughout the matter, and with external counsel, developing strategy and tactics, managing the interactions with internal constituencies; assessing and communicating the risks; overseeing disclosure/discovery; developing settlement recommendations (when applicable); ensuring cost effective legal spend
- Handling civil, administrative, and criminal inquiries, subpoenas, etc., including negotiating scope, drafting objections and responses; collecting information and data for production; etc.
- Conducting internal investigations relating to potential enforcement, pre-litigation, employment, disciplinary, and other matters
- Assisting with the reporting function, including reporting to management, auditors, regulators, insurers, etc.
- Handling and facilitating eDiscovery and related matters, with assistance from internal eDiscovery personnel and resources.
