Global Head Of Compliance Risk Jobs (NOW HIRING)

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 Societe Generale 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