Compliance Audit Officer

 Montreal - Canada, Canada       Permanent contract        Legal / Taxation / Compliance

Responsibilities

The candidate will be responsible for participating in the execution of testing reviews as part of the Annual Compliance Testing plan.

 

Participation in testing reviews:

  • Gather information sufficient to understand the processes, risks and controls to be tested;
  • Assist in developing and executing the testing program and testing scripts;
  • Document review work with enough detail that a third-party can reasonably understand the testing performed and the results of testing;
  • Identify issues through testing and ensure that appropriate action plans are being developed to correct the deficiencies noted;
  • Participating in the development of final testing reports to document and formally communicate testing results to stakeholders;
  • Validate that the business has completed the agreed upon action plans by the due date.

Profile Required

Competencies:

  • General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
  • Strong attention to detail
  • Ability to work independently
  • Ability to prioritize and work in a dynamic, deadline-focused environment
  • Exemplary personal ethics and desire to always adhere to rules and regulations
  • Ability to work well in a highly diverse team
  • Ability to communicate well across all levels of an organization
  • Demonstrated history of taking initiative

Technical Skills:

  • Advanced knowledge of Excel and proficiency in Word and PowerPoint
  • Excellent research and analytical skills
  • Excellent written and verbal communication skills
  • Securities licenses a plus

Prior work experience:

  • 5-7 years Compliance experience in the financial services firm
  • 2-5 Compliance testing or Audit experience required

 

Qualifications:

  • BA/BS required
  • English language is required

Why Join Us

Société Générale 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.


Business Insight

The Société Générale Americas Compliance Department monitors the corporate banking, investment banking and broker–dealer activities and reports on the compliance risks and issues to Société Générale Americas and Group Compliance Senior Management. The Société Générale Americas Compliance Department also works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies. The Société Générale Americas Compliance Department is also responsible for monitoring the handling of sensitive confidential business information through the Compliance Control Room. It administers the Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. Additionally, the Advisory Team provides guidance and advice on relevant rules and regulations. Finally, the Financial Crime department is responsible for ensuring compliance with anti-money laundering and sanctions regulations.

 

The Société Générale Americas Compliance Department is expanding its operations in Montreal to support the following divisions: Financial Crime Compliance, Digital Transformation Office, Testing, Monitoring & Risk Assessment and Capital Markets Surveillance. These individuals will assist the team with day-to-day responsibilities on projects and deliverables for the Americas (U.S., Canada and Brazil) region.

 

The Compliance Monitoring and Testing team provides regular and independent testing and monitoring of key controls and processes related to the management of compliance risk associated with the business activities of Société Générale in the Americas.


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, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 1900019Z
Business unit: SG CIB
Starting date: Immediate
Date of publication: 02/12/2019
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Compliance Audit Officer

Permanent contract   |   Montreal - Canada   |   Legal / Taxation / Compliance