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Job Details

Senior Compliance Officer - Testing amp Monitoring

Company name
Societe Generale.

Employment Type

Finance, Compliance

Posted on
Jan 08,2019

Valid Through
Apr 23,2019

Apply for this job



The candidate will be responsible for helping to executing the CTL risk-based testing plan.

Responsibilities will include:

Executing reviews as part of the CTL plan

Gathering information sufficient to understand the process, risks and controls to be tested;

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

Validating that the business has completed the agreed upon action plans by the due date;

Developing final testing reports to document and formally communicate testing results to stakeholders

Assisting the Head of Core Compliance Testing team with development of the annual risk based CTL testing plan



Strong attention to detail

Ability to work independently

Excellent oral and written communication skills

Ability to communicate well across all levels of an organization


Proficient in MS Word and Excel


10-12 years Compliance experience in the financial services firm

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

Employee Specific Job Responsibilities:


B.A./B.S. required

Advance degree preferred


French a plus but not required

Company info

Societe Generale.
Website :

Company Profile
In ten years’ time, digital technology will have become an essential component of the relationship with our customers, without, however, being an exclusive mode of communication. In the future, we will be able to closely anticipate customer expectations and, whatever the means of interaction they choose (branch, digital, mobile, multimedia platform), we will be able to offer appropriate solutions and a wider range of personalised services, meeting the needs of “digital natives” as well as those concerned by an issue as sensitive as dependency. Digital technology is a tremendous means for increasing our capacity to provide advice and expertise, but also simplifying the life of our customers.

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