CTL Compliance Officer –Tester

Permanent contract|Montreal|Compliance

CTL Compliance Officer –Tester

Montreal, Canada Permanent contract Compliance

Responsibilities

The Control Assessment, Monitoring and Testing (CTL) group sits within Société Générale in the U.S. (“SGUS”) Compliance and RISQ and operates as part of the 2nd Line of Defense within a “Three Lines of Defense” model. CTL is a key component of the SGUS risk management program and provides risk-based independent testing of controls related to the management of compliance and operational risks across business lines, support units (i.e., compliance, information technology, operations, human resources, data office, etc.) and legal entities.

The primary objective of the CTL Testing team is to evaluate policies, procedures and internal controls to assess whether they are reasonably designed and in the case of transaction testing, that controls are working as intended to ensure SGUS activities comply with applicable Laws, Rules and Regulations.

Day-to-Day Responsibilities:

The candidate will be responsible for leading the execution of Testing reviews as part of the Annual risk-based Testing (CTL) Plan. Responsibilities will include:

  • Gathering information sufficient to understand the process, risks and controls to be tested;
  • Developing the testing program and testing scripts for reviews;
  • Documenting review work with enough detail that a third-party can reasonably understand the testing performed and the results of testing;
  • Identifying issues through testing, ensuring that appropriate action plans are being developed by the business to correct the deficiencies noted;
  • Discuss results and findings with relevant stakeholders including the business or function being tested.
  • Developing final testing reports to document and formally communicate testing results to stakeholders; 
  • Validating that the business has completed the agreed upon action plans by the due date;
  • Assisting the Compliance Testing Head with development of the annual risk based CTL Testing Plan.
  • Maintain regular engagement and provide feedback to key business and Compliance stakeholders.

Profile required

Competencies:            

  • Strong working knowledge of compliance and operational risk and associated framework
  • Strong attention to detail
  • 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
  • Understand the business and applicability of regulations to identify key risk areas for the review and focus on the key areas for testing. 
  • Strong analytical, problem-solving and organizational skills (capable of handling multiple, simultaneous, and various ad-hoc requests)
  • Demonstrated history of taking initiative.
  • Must be able to work collaboratively within a complex organization, across multiple cultures, geographies and disciplines.
  • Ability to prioritize and work in a dynamic, deadline-focused environment.

Technical Skills & Knowledge:

  • Proficient in Microsoft Word, Excel, and PowerPoint
  • Excellent writing skills
  • Securities licenses a plus

Prior work experience:

  • 7-12 years experience in the financial services firm
  • 5-7 Compliance testing or Audit experience required
  • General knowledge of applicable regulatory requirements and expectations related to investment banking and broker–dealer activities.AML experience a plus

Qualifications (Experience, Education, Languages):

  • B.A./B.S. required
  • English and French

Business insight

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, innovation. These four values are centered around our clients. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. And we work to increase our impact on clients.


Conformément son engagement à fournir un milieu de travail sécuritaire pour toute personne accédant à ses installations, à compter du 15 novembre 2021, en vertu de la politique de vaccination contre la Covid-19 Société Générale Canada, seuls les employés pleinement vaccinés seront autorisés à venir au bureau de Montréal et de Toronto

In accordance with its commitment to provide a safe work environment for anyone accessing its facilities, as of November 15, 2021, under Societe Generale Canada's Covid-19 vaccination policy, only fully vaccinated employees will be allowed to come to the Montreal and Toronto offices.

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: 21000XOJ
Entity: SG MONTREAL SOLUTION CENTER 2 INC.
Starting date: 2022/01/24
Publication date: 2021/11/09
Share