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.

Skills and Qualifications

Required

• Bachelor’s degree or equivalent
• Minimum of 3 years of experience in a transaction monitoring or surveillance role
• Strong knowledge of regulations applicable to banking, brokerage, and futures commission merchant (FCM) activities
• Excellent interpersonal skills with strong written and verbal communication abilities
• Proven analytical, problem‑solving, and organizational skills
• Ability to manage multiple priorities simultaneously in a fast‑paced, high‑pressure environment
• Self‑motivated and proactive, with the ability to work both independently and collaboratively within a team
• High level of accuracy and attention to detail
• Proficiency in Microsoft Word, Excel, and PowerPoint

Preferred

• Degree or specialization in Finance is a plus
• Experience or specialization in surveillance testing is a plus
• Experience using third‑party transaction surveillance platforms (e.g., SMARTS, Trading Hub, or similar systems) is a plus

Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

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/)

DIVERSITY, INCLUSION & BELONGING (“DIB”):
Our DIB Mission: Recruit, develop, retain and advance a talented workforce that is united in our efforts to leverage our talent and further develop an inclusive environment that will enhance our competitive position and deliver innovative solutions to our clients. It seeks to foster an environment where employee differences are valued and where all employees feel engaged, supported, respected, and informed. For more information about our DIB initiatives, please visit this link: https://americas.societegenerale.com/en/careers/get-know-diversity/

COMPENSATION:
Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.