- In depth understanding of rules, regulations and best practices relating to BSA/AML/OFAC required
- Prior experience in a testing role within Compliance Testing or Internal Audit, preferably in a BSA/AML/OFAC capacity
- 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
- 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.
- Ability to prioritize and work in a dynamic, deadline-focused environment.
Technical Skills & Knowledge:
- BSA/AML/OFAC/Sanctions related certifications, such as CAMS, CFE required
- Proficient in Microsoft Word, Excel, and PowerPoint
- Excellent writing skills
- Securities licenses a plus
Prior work experience:
- 3-5 years of experience working in the field of BSA/AML/OFAC required
- 7-12 years experience in the financial services firm
- 5-7 Years of Compliance Testing or Audit experience
The Compliance Assessment, Monitoring and Testing (CTL) group sits within Société Générale in the U.S. (“SGUS”) Compliance 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 compliance risk management program and provides risk-based independent testing of controls related to the management of compliance 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 within Compliance 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.
Compliance Testing includes a Financial Crimes Compliance (“FCC”) team that is responsible for BSA, AML and OFAC/sanctions testing.