Control Testing Officer - Audit and Quality Control (Compliance Officer) - Compliance - Montrea[...]

SGS Société Générale de Surveillance SA; Montreal; On-site; CAD 70,000 - 110,000; Full time

Job summary

An established industry player is seeking a Control Testing Officer to enhance their Compliance Risk Management efforts. This role focuses on overseeing Quality Control and Assurance programs, ensuring adherence to regulatory standards while evaluating policies and procedures. The ideal candidate will have extensive experience in internal/external audit, strong analytical skills, and a proactive approach to problem-solving. Join a dynamic team where your contributions will directly impact the effectiveness of compliance and operational risk management. If you thrive in a fast-paced environment and are passionate about risk management, this opportunity is perfect for you.

Qualifications

• 5-7 years’ experience in audit or control testing.
• Strong communication skills across organizational levels.
• Analytical and problem-solving skills are essential.

Responsibilities

• Oversee Quality Control and Assurance programs.
• Review workpapers and reports for compliance.
• Document sample selection rationale and feedback.

Skills

Internal/External Audit

Control Testing

Communication Skills

QC Program Development

Banking Products Knowledge

Analytical Skills

Problem-Solving Skills

Organizational Skills

Prioritization Skills

Education

Bachelor's Degree

CIA/CPA/CFA/FRM Certification

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 with the objective of achieving, together with the first line-of-defense, the best possible outcome for the bank. The department oversees enterprise, strategic, credit, market, liquidity, operational, model, and other risks of the 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. CTL provides independent testing of controls related to compliance and operational risks across various business lines, support units, and legal entities.

The primary goal of the CTL Testing team is to evaluate policies, procedures, and controls to ensure they are well-designed and effective, ensuring SGUS activities comply with applicable laws and regulations.

What will be your DAY-TO-DAY?

The Control Testing Officer will oversee the Quality Control (QC) and Quality Assurance (QA) programs within the Compliance and RISQ Control Testing team, focusing on regulatory risk testing related to operational laws, rules, and regulations. Responsibilities include:

• Reviewing workpapers and final reports to ensure adherence to testing procedures.
• Identifying and following up on material observations requiring action.
• Reviewing Corrective Action Validation (CAP) memos and supporting documents for QC compliance.
• Documenting sample selection rationale.
• Providing feedback during QC processes.
• Completing and finalizing QC checklists and scores.
• Assisting with quarterly QC reporting and metrics validation.
• Supporting QA reviews and training development based on QC observations.

Profile required

Skills and Qualifications:

• 5-7 years’ experience in internal/external audit or control testing.
• 3-5 years’ experience in financial services.
• Strong communication skills across organizational levels.
• Experience in developing or executing a QC program is a plus.
• Understanding of banking products and operational processes.
• Knowledge of relevant regulations and risk areas.
• Analytical, problem-solving, and organizational skills.
• Openness to new ideas and escalation when needed.
• 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 US colleagues and partners.

Applicants will undergo enhanced background screening, including fingerprinting, due to US Federal Securities law.