Compliance Officer

Permanent contract|Montreal|Compliance

Compliance Officer

Montreal, Canada Permanent contract Compliance

Responsibilities

Division Description:

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.

What will be your DAY-TO-DAY?

The candidate will be responsible for performing monitoring functions and to assist the Head of Compliance Monitoring.
Development of annual monitoring plan:
- Assist the Head of Compliance Monitoring with the development of the annual monitoring plan. The annual monitoring plan cover formalized controls over compliance risks throughout the organization;
- Design, execution and delivery of control monitoring reviews which include planning, fieldwork, reporting and validation of issues:
- Perform initial research on formalized controls to understand the objective, the underlying process and the risks being addressed;
- Perform design and effectiveness testing of formalized controls across the Americas;
- Prepare reporting on results of formalized control testing and communicate to stakeholders any issues identified and corrective actions.

Profile required

Skills and Qualifications:

- 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, PowerPoint and Visio
- Excellent research and analytical skills
- Excellent written and verbal communication skills

Nice-to-have:

- Securities licenses a plus
- 6-8 years of experience in the financial services industry
- 4-6 years of which are related to Compliance testing / Audit topics
- BA/BS required
- English language is required

Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority (“FINRA”).

Why join us

Our Benefits:

Competitive compensation & benefits offering, including but not limited to:

  • Minimum of 20 Vacation days + 4 personal days 
    • Supportive Maternity, paternity, parental and adoption leave policy 
    • Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.)
    • Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family
  • Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc. 
  • A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others) 

Business insight

OUR CULTURE:

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas.

D&I:

Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our Diversity & Inclusion Vision:

  • Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
  • Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents

Hybrid Work Environment:

Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, to promote interaction and collaboration with colleagues while adhering to all SG standard protocols.  Hybrid work arrangements vary based on business area.

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: 22000VVZ
Entity: SG Global Solution Centre
Starting date: 2022/12/19
Publication date: 2022/11/14
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