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Regulatory Inventory Compliance Officer

Société Générale -
Montréal, QC

Postuler dès maintenant

Détails du poste

Permanent
Il y a 9 jours

Profil recherché

Microsoft Powerpoint
Microsoft Word
Microsoft Excel
Anglais
Esprit d'analyse
Capacités de présentation
Baccalauréat
Sens de l'organisation
Compétences en communication

Description complète du poste

Responsibilities

Responsibilities:

Responsibilities include, but are not limited to:

Participating in the maintenance, review and ongoing update of the inventory of U.S. laws, rules and regulations (LRRs) applicable to the Firm’s U.S. operations (Regulatory Inventory);
Maintaining and updating the enhanced mapping and linkages of the LRRs in the Regulatory Inventory to various data points such as Firm’s business lines, legal entities, 2LoD oversight, risk categories, policies, procedures, and controls;
Facilitating the impact assessment of new or amended LRRs by subject matter experts (SMEs) in coordination with the Regulatory Change Management team;
Requesting feedback from subject matter experts (SMEs), including Legal and Compliance coverage and other stakeholders;
Disseminating regulatory information to stakeholders across the Firm both in the U.S. and globally;
Facilitating the collection, tracking and incorporation of SME feedback into the Regulatory Inventory;
Supporting the identification, escalation and remediation of any identified gaps, overlaps or inconsistencies in the Regulatory Inventory;
Contributing to the enhancement of processes and procedures governing the maintenance of the Regulatory Inventory;
Participating in the implementation and optimization of new technologies including Governance, Risk and Compliance (GRC) platforms, automation initiatives, and source-system data feeds;
Drafting reports and presentations, as needed, for Paris-based Legal & Compliance Departments, senior management in the U.S. and relevant governance committees;
Supporting internal reviews, audits, examinations and regulatory inquiries related to the Regulatory Inventory;
Working with the Regulatory Framework Management team on on-going and ad hoc special proje c ts; and
Act as a reliable partner, demonstrating ownership, follow-through, and responsiveness in an ever-changing regulatory environment.

Profile required

Division Description:

The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.

Skills and Qualifications:

Must Have:

Competencies:

1-3+ years of Compliance experience preferably in a financial institution, or equivalent shown through work experience, training or education
Basic understanding of the U.S. legal and regulatory environment and rulemaking processes applicable to U.S financial services institutions
Strong interpersonal and written/verbal communication skills
Strong analytical, problem-solving and organizational skills
Great attention to detail

Ability to manage multiple priorities, meet deadlines, and respond to ad-hoc requests in a dynamic environment
- Demonstrated history of taking initiative
- Communication Skills: excellent verbal, written and presentation skills with the ability to interact with stakeholders at all levels within the organization
- Ability to understand and communicate with subject matters experts and stakeholders with respect to U.S. legal and regulatory developments

Technical Skills & Knowledge:

Advanced experience with Microsoft Word, Excel, and PowerPoint
Experience and comfort working with large data sets
Experience working with GRC systems
Experience in testing and roll out of new technologies

Qualifications (Experience, Education, Languages):

Bachelors Degree
JD or other advanced degree a plus

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.

Due to US Federal Securities law that may apply to this position, candidates who will apply for this position may be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority ("FINRA").

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 - brossard qc

Regulatory Inventory Compliance Officer

Directeur(trice) Juridique & Conformité | Director, Legal & Compliance

Chief Information Security, Risk and Compliance [#4940]

Director of Compliance, Team Leader

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

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