Compliance Controls Officer, Associate/VP

Permanent contract|London|Compliance

Compliance Controls Officer, Associate/VP

  • London, United Kingdom
  • Permanent contract
  • Compliance



Job description

The Compliance Testing Officer will be part of the London Wholesale Banking Compliance Testing team responsible for assessing compliance risks and controls implemented by the first and second lines of defence, including performing independent testing activities to assess the design and effectiveness of key controls designed to address compliance risks; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities

·    Participating in the planning, execution and reporting of compliance testing reviews for UK legal entities or at global level in accordance with the Annual Compliance Testing Plan.

·    Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.

·    Assisting with development of Compliance Annual Compliance Testing Plan and Quarterly Business Monitoring Summaries and the development and enhancement of the Compliance Testing Methodologies and Standards for testing, monitoring, and reporting.

·    Utilizing innovative compliance testing solutions, including Data Analytics.

·    Developing effective relationships within the Compliance Testing function and with other stakeholders, including Business process owners, Compliance Advisory teams and Internal Audit function.

·    Identifying industry best practices and sharing insight with the Compliance Testing teams on a regular basis.

·    Informing Compliance Testing management of significant compliance matters that require their attention or action.

Profile required

Profile Required


·    Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry

·    Extensive experience in compliance test planning, processes and controls design assessments, controls operating effectiveness testing, transactional testing, surveillance systems, and reporting activities

·    Strong interpersonal skills with the ability to both work independently and collaboratively and with people at all levels of the organization

·    Advanced analytical skills

·    Intermediate knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures

·    French would be an advantage


·    Degree educated or equivalent

·    ACCA or ACA preferred

Why join us

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.

Business insight

If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Société Générale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.

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: 23000UN5
Entity: Societe Generale London Branch
Starting date: immediate
Publication date: 2023/11/16