Risk Audit and Compliance Professional
1 week ago
The Control Assessment and Testing (CTL) group is a key component of the Société Générale risk management program, providing risk-based independent testing of controls related to the management of compliance and operational risks across business lines, support units, and legal entities.
The primary objective of the CTL Testing team 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 Société Générale activities comply with applicable laws, rules, and regulations.
Key Responsibilities- Lead Testing Reviews: Execute testing reviews as part of the risk-based Annual Testing plan, assessing and auditing the quality of controls in place to comply with applicable regulatory requirements.
- Develop Testing Programs: Develop testing programs and testing scripts for reviews, gathering information sufficient to understand the process, risks, and controls to be tested.
- Document Review Work: Document review work with enough detail that a third-party can reasonably understand the testing performed and the results of testing.
- Identify and Address Issues: Identify issues through testing, ensuring that appropriate action plans are being developed by the business to correct the deficiencies noted.
- Develop Final Reports: Develop final testing reports to document and formally communicate testing results to stakeholders.
- Validate Action Plans: Validate that the business has completed the agreed-upon action plans by the due date.
- Assist in Annual Planning: Assist the Testing Head with development of the annual risk-based Testing Plan.
- Maintain Stakeholder Relationships: Maintain regular engagement and provide feedback to key business and stakeholders.
- 8-10 years' experience in the financial services firm.
- 5-7 years' experience in Internal or External Audit, or Control testing required.
- General knowledge of applicable regulatory requirements and expectations related to investment banking and broker-dealer activities.
- 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.
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.
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