Control Testing Officer - Audit and Quality Control (Compliance Officer)

SGS Société Générale de Surveillance SA; Montreal; On-site; CAD 70,000 - 90,000; Full time

Job summary

A leading company in the financial sector is seeking a Control Testing Officer to oversee quality control and assurance programs. The role involves evaluating compliance and operational risks, ensuring effective policies and procedures, and collaborating with various business units. Ideal candidates will have significant experience in audit or control testing within financial services, strong communication skills, and a solid understanding of banking regulations. Join a dynamic team focused on risk management and compliance.

Qualifications

• 5-7 years’ experience in internal/external audit or control testing.
• 3-5 years’ experience in financial services.

Responsibilities

• Oversee Quality Control and Quality Assurance programs.
• Lead regulatory risk testing related to operational laws.
• Review workpapers and reports, and document findings.

Skills

Communication

Analytical

Problem-Solving

Organizational

Education

CIA

CPA

CFA

FRM

Series 7

Job description

Responsibilities

The Compliance Risk Management Department contributes to the sustainable growth of the Société Générale 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 to achieve the best outcomes for the bank. It oversees enterprise, strategic, credit, market, liquidity, operational, model, and other risks within corporate and investment banking activities.

About the Job

The Control Assessment and Testing (CTL) group, part of Société Générale in the U.S. (“SGUS”), operates as part of the 2nd Line of Defense within a “Three Lines of Defense” model. It provides independent testing of controls related to compliance and operational risks across various business units, support functions, and legal entities.

The main goal of the CTL Testing team is to evaluate policies, procedures, and controls to ensure they are well-designed and functioning effectively, ensuring SGUS compliance with applicable laws, rules, and regulations.

Day-to-Day Responsibilities

The Control Testing Officer will oversee the Quality Control (QC) and Quality Assurance (QA) programs, leading regulatory risk testing related to operational laws, rules, and regulations. Responsibilities include reviewing workpapers, reports, and supporting documents, identifying and following up on material observations, performing sample reviews, documenting rationale, providing feedback, completing QC scores, assisting with reporting, and supporting QA processes and training.

Profile and Skills

Must Have:

• 5-7 years’ experience in internal/external audit or control testing.
• 3-5 years’ experience in financial services.
• Strong communication skills across all organizational levels.
• Experience with Quality Control programs within audit or control testing groups is a plus.
• Understanding of banking and brokerage products, operational processes, and relevant regulations.
• Analytical, problem-solving, organizational skills, and ability to prioritize in a dynamic environment.

Desired/Plus:

• Experience in risk management within banking.
• Knowledge of audit principles.
• Certifications such as CIA, CPA, CFA, FRM, Series 7.

Language: Proficiency in English, both oral and written, is required for collaboration with U.S. colleagues and partners.

Additional Information

Due to US Federal Securities law, candidates will undergo enhanced background screening, including fingerprinting by a third-party vendor authorized by FINRA.