Compliance Testing Officer

Job code: 1900019Z
Date of publication: 2019-02-14 18:17:30.0
Starting date
2019-03-18 00:00:00.0
Job function
Legal / Taxation / Compliance
Business unit
SG CIB
Location
Montreal - Canada
Job type
Permanent contract

Environment

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

Mission

The candidate will be responsible for participating in the execution of Testing reviews as part of the Annual Compliance Testing (CTL) risk-based testing plan. Responsibilities will include:

  • Gathering information sufficient to understand the process, risks and controls to be tested
  • Assisting in developing and executing 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
  • Participating in the development of 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

Profile

Competencies, Skills and Qualifications:

 
Competencies:            
  • 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
  • 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:
  • Proficient in Microsoft Word, Excel, and PowerPoint
  • Excellent writing skills
  • Securities licenses a plus
Prior work experience:
  • 5-7 years Compliance experience in the financial services firm
  • 2-5 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

Evolution

Societe Generale is a global financial institution and one of the largest foreign corporate and investment banks. As such, it has a diverse population which fosters opportunity to collaborate with colleagues in different countries as well as access to international mobility. The firm recently unveiled its new brand platform “The Future is You” which not only demonstrates its commitment and responsibility to its clients, but also to its employees as their ideas and actions can make an impact on the direction of the organization. The Societe Generale U.S. Compliance Department is looking to hire individuals in Montreal as an extension of its U.S. team in the following divisions: Financial Crime Compliance, Digital Transformation Office, Testing, Monitoring & Risk Assessment and Capital Markets Surveillance. These individuals will be provided training by U.S. staff and will assist the team with day-to-day responsibilities on projects and deliverables for the Americas (U.S., Canada and Brazil) region.

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