Americas Head of Compliance & Risk Control Testing

The Americas Head of Compliance & Risk Control Testing (CTL) reports directly to the U.S. Chief Compliance Officer with matrix reporting accountability to the Global Head of Compliance Control Testing (CPLE) and the Global Head of Risk Testing (RISQ). The role maintains independence from the First Line of Defense and serves as a senior member of the U.S. Compliance and Risk leadership teams.

The CTL Head is accountable for maintaining an effective second-line independent testing program consistent with the expectations of the Federal Reserve Board, New York State Department of Financial Services, Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, National Futures Association, and applicable Société Générale Group standards. 

More specifically, the CTL Head is responsible for the leadership, governance, strategy, and execution of the second-line Control Testing function across Regulatory Compliance, Financial Crime Compliance, and Risk Management (RISQ) functions within the U.S. operations of a Foreign Banking Organization (FBO) and ensuring alignment with SG Group requirements.

The role leads a team of approximately twenty-seven professionals located across New York and Montreal and serves as a key member of the Compliance and Risk leadership teams, providing independent challenges, oversight, governance reporting, and strategic direction regarding the effectiveness of the overall control environment.

The key job responsibilities of this position include:

·       Managing the CTL/CPLE and CTL/RISQ teams in AMER.

·       Developing and maintaining an independent, risk-based CTL/AMER framework.

·       Establishing testing strategies, coverage, and priorities based on risk assessments, regulatory developments, business objectives, and emerging risks.

·       Ensuring testing methodologies, standards, and practices align with regulatory expectations and SG Group requirements.

·       Providing independent challenge on control effectiveness, remediation activities, and risk mitigation measures

·       Ensuring the teams operate in compliance with local and global CTL procedures.

·       Serving as a member of the U.S. Compliance and Risk leadership teams, contributing to strategic planning and governance initiatives.

·       Establishing and maintaining effective relationships with Internal Audit, Regulatory Affairs, and other control functions.

·       Developing geographically dispersed testing teams across New York, Montreal, and Brazil, providing risk-based coverage across the U.S., Canada, and Latin America.

• Establishing clear performance objectives, development plans, and succession strategies for team members.

• Fostering a culture of accountability, independence, continuous improvement, and regulatory excellence.

• Promoting consistency in testing execution, documentation standards, quality assurance, and reporting across all testing teams.

The Compliance and Risk Testing (CTL) teams provide independent, risk-based testing of controls established to manage compliance, operational, and regulatory risks across business lines, support functions, and legal entities. Operating within the Second Line of Defense, CTL evaluates the design and operating effectiveness of policies, procedures, and internal controls to determine whether they are designed and functioning as intended. Through control testing, transaction testing, issue identification, root cause analysis, and remediation tracking, CTL provides assurance that risks are appropriately managed and that the organization remains compliant with regulatory requirements and internal standards. Testing coverage and priorities are driven by risk assessments, regulatory requirements, and input from senior management, ensuring a focused and risk-based approach to oversight.

Skills and Qualifications:

Must Have:

·       Bachelors’ Degree from an accredited U.S. college or university

·       15+ years’ experience working in financial Services

·       10+ years’ experience working withing an audit or compliance department at a US-located bank or broker-dealer

·       Management experience and leadership skills

·       Presentation skills

·       Strong interpersonal and written/verbal communication skills

·       Strong analytical, problem-solving and organizational skills

·       Strong understanding of how risk management functions operate in US banks

·       Ability and interest in reading and analyzing regulations and focusing on details

·       Ability to prioritize and work in a dynamic, deadline-focused environment

·       Compliance and reputational risk management assessment skills: experienced in the process of assessing the legal risks associated with a business environment

·       Advanced Word, Excel and PowerPoint skills

Nice to Have:

·       Securities license (SIE, Series 7)

·       Advanced degree (MBA, JD, CPA)

·       Strong data analytics abilities

·       Experience working for an FBO

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/)

DIVERSITY, INCLUSION & BELONGING (“DIB”):
Our DIB Mission: Recruit, develop, retain and advance a talented workforce that is united in our efforts to leverage our talent and further develop an inclusive environment that will enhance our competitive position and deliver innovative solutions to our clients. It seeks to foster an environment where employee differences are valued and where all employees feel engaged, supported, respected, and informed. For more information about our DIB initiatives, please visit this link: https://americas.societegenerale.com/en/careers/get-know-diversity/

COMPENSATION:
Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.