Risk Assessment Compliance Officer

 New York, United States       Permanent contract        Legal / Taxation / Compliance


Assist in the implementation of the SGUS Compliance Risk Assessment, including campaign planning, training, execution, reporting and socialization. Help administer the Compliance Risk Assessment reporting and data infrastructure. Day to day responsibilities include but are not limited to:

·         Assist in all aspects of the Compliance Risk Assessment program, including campaign planning, training, launch, execution, reporting, action plans and identification of lessons learned.

·         Assist in establishing clear, concise, valuable reporting of the Compliance Risk Assessment.

·         Proactively seek to identify opportunities to make processes more efficient.

·         Assist in the implementation of technology initiatives.

·         In collaboration with other Compliance Risk Assessment team members, assist efforts to maintain a mapping of business lines and their respective risk assessment units to the Compliance Risk Taxonomy.

·         Assist in efforts to utilize the Compliance Risk Assessment results in order to identify control enhancement opportunities and participate in discussions aimed at developing action plans with relevant senior stakeholders.

·         Assist with the collection, maintenance and utilization of pertinent data.

·         Participate in the functional design development efforts for the Compliance Risk Assessment and Testing & Monitoring teams.

·         Liaise directly with key stakeholders in an effort to keep them apprised of important developments and escalate where appropriate.

Profile Required


  • Excellent attention to detail.
  • Excellent oral and written communication skills.
  • Ability to communicate confidently and in-person across all levels of the organization.
  • A basic understanding of U. S. financial regulations and prudential standards.
  • Experience of maintaining a robust regulatory inventory.
  • Experience of mapping regulations to a compliance risk assessment.
  • Experience of synthesizing data to produce executive style reports in PowerPoint.
  • Knowledge of banking or financial services institutions.
  • Experience in the development of management reports.

Experience Needed:

  • 2+ years relevant industry experience

Educational Requirements:

  • College degree

Why Join Us

In accordance with Regulatory expectations and Industry Best Practice, the Compliance Risk Assessment team is responsible for managing the process by which Compliance Advisory personnel independently identify and evaluate key Compliance risks and associated controls across business lines.  Results of the Annual Compliance Risk Assessment serve as a cornerstone of the broader Americas Compliance program. Results from the assessment can be used to inform control enhancement initiatives, monitoring and testing plans, the annual Compliance plan; as well as departmental decisions regarding future budget and resource allocation. 

Business Insight

The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management.  Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations.  The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations.  Additionally, AML oversees key processes and risks of the KYC department.

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: 19000VYZ
Business unit: SG CIB
Starting date: Immediate
Date of publication: 17/12/2019
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Risk Assessment Compliance Officer

Permanent contract   |   New York   |   Legal / Taxation / Compliance