Audit and Quality Control Officer

Permanent contract|Montreal|Compliance

Audit and Quality Control Officer

Montreal, Canada Permanent contract Compliance

Responsibilities

OVERVIEW

The Compliance 2nd Line Monitoring and Testing team (CTL) provides regular and independent testing and monitoring of key controls and processes related to the management of those compliance risk associated with the business activities of Société Générale in the U.S. (“SGUS”).  CTL is a key component of the SGUS overall Compliance program and is part of an effective compliance risk management program

MAIN ACCOUNTABILITIES

The candidate will be responsible for performing the Quality Control (QC) process of Compliance Testing (CTL) reviews.

Day-to-day responsibilities will include:

  • Performing sample selection of the reviews and corrective action plans (CAPs) that are subject to QC;
  • Documenting QC sample selection rationale in a Sample Rationale Memo;
  • Reviewing workpapers and final reports pertaining to a review that is subject to QC to ensure they adhere to the Compliance Testing Procedures;
  • Reviewing CAP Validation Memo and supporting documents pertaining to a CAP that is selected for QC QC to ensure they adhere to the Compliance Testing Procedures;
  • Documenting QC comments in QC checklists for reviews and for CAPs;
  • Providing QC feedbacks on reviews to the testing team;
  • Identifying material observations that require actions to be taken by the testing team, following up on the actions, validating that the testing team has completed the agreed upon action plans by due date, and dispose all action plans in the QC checklists;
  • Completing QC scores for each QC checklist and finalizing the QC checklists by the due dates;
  • Identifying key observations and themes across all QCs performed during the Quarter; 
  • Assisting with MIS reporting on quarterly QC results;
  • Assisting with Quality Assurance (QA) process for in-flight reviews
  • Assisting with defining training to the Compliance Testing team based on the observations noted by QC

Profile required

COMPETENCIES

  • Strong attention to detail
  • Strong business writing skills
  • Ability to work independently
  • Strong interpersonal and written/verbal communication skills.
  • Ability to communicate well across all levels of an organization
  • Knowledge of Banking, Broker-Dealer and FCM-related risks and regulations
  • Strong analytical, problem-solving and organizational skills (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.

 TECHNICAL SKILLS / QUALIFICATIONS

  • Proficient in Microsoft Word, Excel, and PowerPoint
  • Excellent writing skills
  • Securities licenses a plus
  • Certified Public Accountant or Certified Internal Auditor license a plus

PRIOR WORK EXPERIENCE

  • 5-7 years Compliance experience in the financial services firm
  • 3-5 Compliance Testing or Audit experience required
  • Experience in execution and/or development of a Quality Control Program within an Audit group or Compliance Testing group is a plus
  • General knowledge of applicable regulatory requirements and expectations related to investment banking and broker–dealer activities; AML experience a plus

EDUCATION

  • B.A./B.S. required

Business insight

.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 21000UR3
Entity: SG MONTREAL SOLUTION CENTER 2 INC.
Starting date: 2021/11/29
Publication date: 2021/10/18
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