Compliance Officer (Control Design and Testing)

Compliance Officer (Control Design and Testing)

Responsibilities

 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 ...