Sr. Control Testing Officer

Division DescriptionThe 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.
ResponsibilitiesThe 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 ResponsibilitiesThe 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
RequiredProfile 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
LanguageAbility 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 InsightSociete 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.
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