Compliance Testing - Lead Reviewer - Legal / Taxation / Compliance New York - United States
The candidate will be responsible for leading 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; Developing the testing program and testing scripts for reviews; Documenting review work in accordance with CTL Standards in sufficient detail so 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; Maintaining an ongoing engagement with the Business for those activities within the assigned area of responsibilitiy; Completing on-going monitoring of assigned activities; Assisting the Compliance Testing Head with development of the annual risk based CTL Testing Plan.
All our positions are open to people with disabilities Profile Competencies: Extensive knowledge of Banking, Broker-Dealer and FCM-related risks and regulations; Strong attention to detail and understanding of audit methodologies; Strong analytical, problem-solving and organizational skills (capable of handling multiple, simultaneous, and various ad-hoc requests); Strong interpersonal and written/verbal communication skills; Ability to communicate well across all levels of an organization; Ability to work independently; 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: 8-12 years Compliance experience in the financial services firm 5-7 years od experience in a Compliance testing or Audit function 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
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, innovation. These four values are centered around our clients. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. And we work to increase our impact on clients.
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.
Job code: 19000ETP
Business unit: SG CIB
Starting date: Immediate
Date of publication: 13/07/2019