Compliance Officer (Control Design and Testing)

Société Générale’s Capital Markets Surveillance (“CMS”) is a global team within the Compliance department responsible for the monitoring of security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations. AMER CMS consists of three teams focused on: the monitoring of security transactions, the monitoring of audio and electronic Firm communications, and the design and testing of controls supporting the CMS program. The AMER Control Design and Testing Team ("CDT") is responsible for the design, testing, implementation and ongoing management of internal and vendor provided surveillance controls across various asset classes and is responsible for its continuous quality assurance.

As a member of CDT, responsibilities include, but are not limited to, the following:

• Conducting efficacy control testing (both internal and vendor based) for their effectiveness, efficiency, and alignment with regulatory expectations;
• Assessing regulatory risks associated with changes to regulations, new business initiatives and requisite surveillance control modifications;
• Documenting and maintaining surveillance control business requirement documents and testing all control enhancements;
• Supporting regional and global surveillance initiatives relating to program governance and control development, testing and deployment;
• Assisting with compliance risk assessments;
• Supporting Capital Markets Surveillance management with requests and investigations directed by Senior Compliance Management.
• Testing of enhancement initiatives related to Personal Account Dealing system.
• Leading the Critical Data Elements (CDE) process as it relates to CMS and PAD (e.g., data quality scorecard submissions, onboarding and CDE recertification process);
• Review and assess CMS alert metrics to determine any areas of focus for testing prioritization.