Operational Risk Auditor (Control Testing Officer)

ResponsibilitiesThe Risk Management Department contributes to the sustainable growth of the Societe Generale group through its expertise, understanding of risks, and risk management techniques. The department’s mission is to independently analyze, assess, manage and monitor risk-taking activities with the objective of achieving, together with the first line-of-defense, the best possible outcome for the bank. The department oversees the enterprise, strategic, credit, market, liquidity, operational, model, and other risks of the corporate and investment banking business activities.ABOUT THE JOB:The Control Assessment and Testing (CTL) group sits within Société Générale in the U.S. (“SGUS”) Compliance and RISQ and operates as part of the 2nd Line of Defense within a “Three Lines of Defense” model. CTL is a key component of the SGUS risk management program and provides risk-based independent testing of controls related to the management of compliance and operational risks across business lines, support units (i.e., compliance, information technology, operations, human resources, data office, etc.) 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 SGUS activities comply with applicable Laws, Rules and RegulationsWhat will be your DAY-TO-DAY?The candidate will be responsible for leading the execution of Testing reviews as part of the risk-based Annual Testing plan. Testing reviews aim at assessing and auditing the quality of the controls in place to comply with applicable regulatory requirements. The candidate will also act as the lead and primary point of contact for the execution of Testing Reviews over one business area in particular. 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 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;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;Assisting the Testing Head with development of the annual risk-based Testing Plan.Maintain regular engagement and provide feedback to key business and stakeholders.Act as a lead in developing and maintaining the relationship with the key stakeholders for one business area of the firm; be the primary point of contact for the execution of Monitoring and Testing reviews on this business areaProfile requiredSkills and Qualifications:Must Have:8-10 years’ experience in the financial services firm5-7 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 General/Technical Skills (3 open ended skills)Ability to communicate well across all levels of an organization.Knowledge of Banking, Broker-Dealer risks and regulationsUnderstand 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.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 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") #J-18808-Ljbffr