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Regulatory Inventory Compliance Officer

4 weeks ago

Montréal QC, Canada SGS Société Générale de Surveillance SA Full time

Responsibilities

The Compliance Department at Société Générale is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm’s banking and financial activities, particularly in the areas of anti-money laundering, anti-terrorism financing, sanctions & embargoes, know-your-customer obligations, client protection, market integrity, anti-bribery & corruption, data protection and client tax transparency.

The Compliance Department enables the firm to operate according to essential compliance standards, ensures that Société Générale’s non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.

Compliance acts as a second line of defense, developing and implementing policies, procedures and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spread a culture of compliance within the Group.

What will be your DAY-TO-DAY?

As our future new Compliance Officer, you will be a part of the Regulatory Inventory team. Your responsibilities include, but are not limited to:

Maintaining and updating an 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 business lines, risk categories, policies, procedures, and controls

Daily monitoring and review of U.S. regulatory developments to determine applicability to SG’s U.S. operations

Requesting feedback on regulatory changes and their impact on the Regulatory Inventory from subject matter experts (SMEs), including Legal and Compliance coverage and other stakeholders

Communicating regulatory information to stakeholders across the Firm both in the U.S. and globally

Maintaining and enhancing the processes and procedures necessary to maintain the enhanced and complex Regulatory Inventory

Assisting in disseminating changes to LRRs to stakeholders

Drafting Regulatory Inventory related communications

In connection with the Regulatory Change Committee and others in the Compliance Department, escalating and remediating any identified gaps in the Regulatory Inventory

Participating in the implementation and socialization of new technologies, (e.g., source system feeds, Governance, Risk and Compliance (GRC) tool) and the further automation and enhanced functionalities of the Regulatory Inventory

Preparing detailed status reports, as needed, for Paris-based Legal & Compliance Departments, senior management in the U.S. and relevant governance committees

Working with the Regulatory Framework Management team on on-going and ad hoc special proje c ts

Profile required

Skills and Qualifications:

Must Have:

3+ years of Compliance experience, or equivalent shown through work experience, training or education

Experience working with GRC systems

Experience in testing and roll out of new technologies

Basic understanding of the U.S. legal and regulatory environment and rulemaking processes applicable to U.S financial services institutions

Ability to understand and communicate with subject matters experts and stakeholders with respect to LRRs in the Regulatory Inventory and U.S. legal and regulatory developments

Strong analytical, problem-solving, and organizational skills, in particular with use of spreadsheets and other data management tools

Capable of handling multiple ad-hoc requests

Ability to break down complex problems into simple manageable parts, develop solutions for each part, and integrate them back into the whole

Ability to understand and absorb ideas quickly and apply them pragmatically

Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results

Bachelor’s degree

Nice to Have:

Securities licenses a plus

LANGUAGE: French, English

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 applying to this position, candidates who will apply for this position will 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")

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

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 (
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 (

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.

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