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Control Testing Officer - Compliance Auditor

Société Générale -
Montréal, QC

Postuler dès maintenant

Détails du poste

Permanent
Il y a 5 jours

Profil recherché

Microsoft Powerpoint
Microsoft Word
Microsoft Excel
Audit financier
Compétences rédactionnelles
Anglais
Esprit d'analyse
Baccalauréat
Sens de l'organisation
Services financiers
Compétences en communication

Description complète du poste

Responsibilities

The Compliance Assessment, 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.

Day-to-Day Responsibilities:

The candidate will be responsible for leading the execution of Testing reviews as part of the risk-based Annual Compliance Testing plan.Testing reviews aim at assessing and auditing the quality of the controls in place to comply with applicable regulatory requirements. The candidate will also act as the lead and primary point of contact for the execution of Testing Reviews over one business area in particular. 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;

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 Compliance Monitoring and Testing Plan.

Maintain regular engagement and provide feedback to key business and Compliance stakeholders.

Act as a lead in developing and maintaining the relationship with the key stakeholders for one business area of the firm; be the primary point of contact for the execution of Testing reviews on this business area

Profile required

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 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.

Ability to prioritize and work in a dynamic, deadline-focused environment.

Technical Skills & Knowledge:

Proficient in Microsoft Word, Excel, and PowerPoint

Excellent writing skills

Prior work experience:

8-10 years experience in the financial services firm

5-7 years experience in Internal or External Audit, or Compliance testing required

General knowledge of applicable regulatory requirements and expectations related to investment banking, branch reviews and broker–dealer activities.

Qualifications (Experience, Education, Languages):

B.A./B.S. required

LANGUAGE:

Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.

Why join us

OUR BENEFITS:

WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALE

Competitive compensation & benefits offering, including but not limited to:

Minimum of 20 Vacation days + 4 personal days
- Supportive Maternity, paternity, parental and adoption leave policy
- Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.)

Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family

Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.

A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others)

Business insight

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/)

D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our Diversity & Inclusion Vision:

Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-diversity/)

Diversity and Inclusion

Societe Generale is an equal opportunity employer and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law. We strive to write our postings as inclusively as possible. If, however, one gender is used alone in this display, it designates persons of all gender identities.

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compliance officer emplois - laval, qc

Control Testing Officer - Compliance Auditor

Compliance Officer

Chief Information Security, Risk and Compliance [#4940]

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Je souhaite recevoir la dernière alerte emploi pour les postes de ce type : compliance officer (laval, qc)

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Why join us

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