Compliance Risk Controller

Job description

Responsibilities

Educational Requirements: Any of the below

- University Graduate in Law, Bank & Finance, Economics
- CA
- MBA in Finance

Certification required:

Professional diploma or qualifications in Compliance and/or Audit (preferred).
E.g. CAMS, CFE, CIA, CISA or related Certifications

Technical Skills:

Fair knowledge of Compliance risks in the global banking environment.

This may include the risks related to

- Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)

- KYC and client due diligence activities

- Laws and regulations related to Anti-Bribery and Corruption

- Laws and regulations related to Market Integrity and practices such as Market abuse, insider trading, front running, trade surveillance and monitoring, E.g., DFA, Volcker's, EMIR

- MiFID, FCA CASS and other applicable client protection laws and regulations

- GDPR and other client protection laws and regulations

- Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc.

Functional Skills:

- Fair understanding of Risk and control assurance activities which may include audit or control testing experience.

- Prior experience in performing testing reviews, discussing and agreeing key issues with senior stakeholders

- Fluent Command over English language with excellent report writing and presentation skills.

- Knowing French can be an advantage, although not a necessity.

- Experience of working on multi location regional/global reviews.

- Good stakeholder management skills which will include both internal and external stakeholders.

Behavioral Skills:

Result Orientation and time management

Client Focus

Stakeholder management

Ability to work with diverse teams/Team player

Conflict management

Communication Skills

Presentation Skills

Report Writing Skills

Listening Skills

Risk Sensitiveness

Profile Required

Educational Requirements: Any of the below

- University Graduate in Law, Bank & Finance, Economics
- CA
- MBA in Finance

Certification required:

Professional diploma or qualifications in Compliance and/or Audit (preferred).
E.g. CAMS, CFE, CIA, CISA or related Certifications

Technical Skills:

Fair knowledge of Compliance risks in the global banking environment.

This may include the risks related to

- Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)

- KYC and client due diligence activities

- Laws and regulations related to Anti-Bribery and Corruption

- Laws and regulations related to Market Integrity and practices such as Market abuse, insider trading, front running, trade surveillance and monitoring, E.g., DFA, Volcker's, EMIR

- MiFID, FCA CASS and other applicable client protection laws and regulations

- GDPR and other client protection laws and regulations

- Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc.

Functional Skills:

- Fair understanding of Risk and control assurance activities which may include audit or control testing experience.

- Prior experience in performing testing reviews, discussing and agreeing key issues with senior stakeholders

- Fluent Command over English language with excellent report writing and presentation skills.

- Knowing French can be an advantage, although not a necessity.

- Experience of working on multi location regional/global reviews.

- Good stakeholder management skills which will include both internal and external stakeholders.

Behavioral Skills:

Result Orientation and time management

Client Focus

Stakeholder management

Ability to work with diverse teams/Team player

Conflict management

Communication Skills

Presentation Skills

Report Writing Skills

Listening Skills

Risk Sensitiveness

Why Join Us

“We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status”

Business Insight

In a context of a significant global Transformation of the Permanent Control in Societe Generale WW, CPLE/CTL's

mandate is to operate, within the 3 lines of Defense model, a 2nd Level Controls and Testing framework, from both

a regulatory and financial crime perspective, based around a robust compliance risk assessment, which drives the

prioritizati on of the control plan.

The objective of 2nd Level Controls and Testing is to assess and test independently the adequacy of the 1st Level of

control compliance framework that Business Units (BU) and Support Units (SU) have put in place to mitigate the risks of

non-compliance, reputation and misconduct that SG Group is exposed to across its business activities and operations

globally.

CPLE/CTL is organised around 3 teams:

1. Compliance Control Monitoring: in charge to assess all existing formalized compliance controls (for all compliance risks,

all BU SU, all countries), identify weaknesses and define key action plan

2. Compliance Testing Review: in charge to test the global existing compliance control framework on dedicated process

(risk-based approach), identify weaknesses and key action plan.

3. Transformation and Coordination team: in charge of all transversal processes to run the Transformation of the

permanent control framework and the annual plan (Risk assessment coordination, control plan coordination, methodology,

action plan follow up, budget…)

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents , regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 20000BY4
Business unit: SG Global Solution Centre
Starting date: Immediate
Date of publication: 01/10/2020