Compliance Officer (Control Design and Testing)

 Société Générale’s Capital Markets Surveillance (“CMS”) is a global team within the Compliance department responsible for the monitoring of security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.  AMER CMS consists of three teams focused on: the monitoring of security transactions, the monitoring of audio and electronic Firm communications, and the design and testing of controls supporting the CMS program.   The AMER Control Design and Testing Team ("CDT") is responsible for the design, testing, implementation and ongoing management of internal and vendor provided surveillance controls across various asset classes and is responsible for its continuous quality assurance.

As a member of CDT, responsibilities include, but are not limited to, the following:

• Conducting efficacy control testing (both internal and vendor based) for their effectiveness, efficiency, and alignment with regulatory expectations;
• Assessing regulatory risks associated with changes to regulations, new business initiatives and requisite surveillance control modifications;
• Documenting and maintaining surveillance control business requirement documents and testing all control enhancements;
• Supporting regional and global surveillance initiatives relating to program governance and control development, testing and deployment;
• Assisting with compliance risk assessments;
• Supporting Capital Markets Surveillance management with requests and investigations directed by Senior Compliance Management.
• Testing of enhancement initiatives related to Personal Account Dealing system.
• Leading the Critical Data Elements (CDE) process as it relates to CMS and PAD (e.g., data quality scorecard submissions, onboarding and CDE recertification process);
• Review and assess CMS alert metrics to determine any areas of focus for testing prioritization.

Compétences et Qualifications :

Indispensables :

• Diplôme de licence (Bachelor) ou équivalent
• Plus de 3 ans d’expérience dans un rôle de surveillance des transactions
• Solide connaissance des réglementations applicables aux activités bancaires, de courtage et de commissionnaire en contrats à terme
• Excellentes compétences interpersonnelles et en communication écrite/orale
• Fortes capacités d’analyse, de résolution de problèmes et d’organisation
• Capacité à gérer plusieurs priorités simultanées dans un environnement dynamique et exigeant
• Autonomie et esprit d’initiative, avec aptitude à travailler indépendamment et en équipe
• Grande rigueur et souci du détail
• Expérience avec Microsoft Word, Excel et PowerPoint

Souhaitables :

• Diplôme spécialisé en finance est un plus
• Spécialisation en tests de surveillance est un plus
• Expérience avec des plateformes de surveillance des transactions fournies par des prestataires externes (ex. : SMARTS, Trading Hub, etc.) est un plus

LANGUE : Français et Anglais

La capacité à communiquer en anglais, à l’oral comme à l’écrit, est obligatoire car la personne occupant ce poste devra collaborer régulièrement avec des collègues et partenaires aux États-Unis.

En raison de l’application de la législation fédérale américaine sur les valeurs mobilières à ce poste, les candidats devront se soumettre à un contrôle approfondi des antécédents, incluant la collecte de leurs empreintes digitales par un prestataire tiers sélectionné par la Financial Industry Regulatory Authority (« FINRA »).

OUR BENEFITS:

WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALE

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)

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. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.
For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)
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 
•     Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols.  Hybrid work arrangements vary based on business area.  The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.