Sr. Control Testing Officer

Societe Generale; Montreal; Sur place; CAD 120 000 - 160 000; Plein temps

Résumé du poste

Societe Generale is seeking a senior professional to lead risk-based testing within the RISQ division in North America, focusing on operational and regulatory risk coverage. The role requires coordinating with senior RISQ and business leadership to ensure effective testing and timely remediation across risk areas.

You will design testing programs, document workpapers, and deliver clear reports while guiding a team of testers and liaising with Central RISQ and Internal Audit.

Qualifications

• 7–12 years of experience within a financial services firm.
• 5–7 years of Operational Risk testing or Audit experience
• Knowledge of regulatory requirements for investment banking and broker‑dealer activities
• Ability to communicate in English, both orally and in writing, with US colleagues

Responsabilités

• Lead CTL coverage of RISQ activities and manage relationships with RISQ and Business leadership
• Execute risk-based testing reviews under the Annual RISQ CTL Testing Plan
• Support development of the annual risk-based CTL Testing and Control Plans
• Cover key risk areas including Operational Risk, Fraud, Third-Party Risk, HR processes, and Trade Booking/Settlement
• Assess processes, risks, and controls, design testing programs and scripts
• Document testing and workpapers to third‑party-review standards
• Identify issues, challenge the business, and ensure timely remediation plans
• Prepare and deliver clear, concise final testing reports
• Validate closure of corrective actions by agreed due dates
• Lead and manage a team of testers, including scope, quality review, issue assessment, and progress tracking
• Provide hands-on support during fieldwork and stakeholder engagement
• Coordinate planning and results with Central RISQ and Internal Audit
• Facilitate results reporting to local and global senior management

Connaissances

Attention to detail

Communication skills

Independent worker

Analytical problem-solving

Formation

B.A./B.S. required

Outils

Microsoft Word

Excel

PowerPoint

Description du poste

Division Description

The Risk Management division at SG (RISQ) provides independent oversight of SG’s Business Lines while maintaining independent oversight through risk evaluation, monitoring and testing. The RISQ division in the US supports all the activities in the Americas Region (US, Canada, and Latin America), which is almost exclusively corporate and investment banking (GBIS) oriented.

Responsibilities

The Risk Management division at SG (RISQ) provides independent oversight of SG’s Business Lines while maintaining independent oversight through risk evaluation, monitoring and testing. The RISQ division in the US supports all the activities in the Americas Region (US, Canada, and Latin America), which is almost exclusively corporate and investment banking (GBIS) oriented.

Division Description: The Risk Management division at SG (RISQ) provides independent oversight of SG’s Business Lines while maintaining independent oversight through risk evaluation, monitoring and testing. The RISQ division in the US supports all the activities in the Americas Region (US, Canada, and Latin America), which is almost exclusively corporate and investment banking (GBIS) oriented.

The Second Level Testing team (RISQ/CTL) is responsible for executing risk‑based independent testing of controls established to manage and mitigate operational risk and regulatory risk associated with those regulations applicable to the Risk function. Reviews are completed and, where deficiencies are identified, corrective actions plans are defined and developed to remediate them using the Root Cause Taxonomy. The frequency of coverage and focus of reviews is informed by the Risk and Control Self-Assessment (RCSA) and Regulatory Risk Assessment processes and qualitative input from Senior Risk Officers.

Day-to-Day Responsibilities

The Risk & Control Program Testing Head will be responsible for leading Monitoring and Testing coverage for the Firm’s Risk Management control framework and the associated relationships with senior leadership. Specific responsibilities include:

• Lead CTL coverage of RISQ activities and manage relationships with senior RISQ and Business leadership
• Execute risk‑based testing reviews under the Annual RISQ CTL Testing Plan
• Support development of the annual risk‑based CTL Testing and Control Plans
• Cover key risk areas including Operational Risk, Fraud, Third‑Party Risk, HR processes, and Trade Booking/Settlement
• Assess processes, risks, and controls, design testing programs and scripts
• Document testing and workpapers to third‑party‑review standards
• Identify issues, challenge the business, and ensure timely remediation plans
• Prepare and deliver clear, concise final testing reports
• Validate closure of corrective actions by agreed due dates
• Lead and manage a team of testers, including scope, quality review, issue assessment, and progress tracking
• Provide hands‑on support during fieldwork and stakeholder engagement
• Coordinate planning and results with Central RISQ and Internal Audit
• Facilitate results reporting to local and global senior management

Escalate issues where needed to ensure timely resolution and accountability

Required

Profile required

Competencies

• Inquisitive with strong attention to detail
• Strong written and verbal communication skills; effective across all organizational levels
• Ability to work independently and take initiative
• Strong analytical, problem‑solving, and organizational skills
• Ability to manage multiple priorities in a dynamic, deadline‑driven environment
• Knowledge of Corporate & Investment Banking, Broker‑Dealer, and FCM risks and regulations
• Ability to apply laws, rules, and regulations to business activities and identify key risks

Technical Skills & Knowledge

• Proficient in Microsoft Word, Excel, and PowerPoint
• Excellent writing skills
• Securities licenses a plus

Prior Work Experience

• 7–12 years of experience within a financial services firm
• 5–7 years of Operational Risk testing or Audit experience
• General knowledge of regulatory requirements for investment banking and broker‑dealer activities

Qualifications

• B.A./B.S. required

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 that may apply to this position, candidates who will apply for this position may 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").

Business Insight

Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

Our Culture

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)

D&I

Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our Diversity & Inclusion Vision

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-diversity/)