Broker Dealer Regulatory Reporting Controller

Responsibilities Société Générale’s internal control is based on Permanent control (1st & 2nd Level) and Internal Audit, which are separate and independent but complementary. The Financial Control Team (“CTL”) is part of the Second Level Permanent Control Teams. It monitors the effectiveness of the financial and operational control framework to ensure the quality and accuracy of Société Générale’s (“SG”) financial statement substantiation, regulatory reporting, liquidity, and capital management. This transversal role covers Control Testing and Reviews for SG Investment Banking Business Lines and Prime Brokerage linked to SG entities across the Americas. This individual will be part of the CTL Team, designing test plans, collecting samples, independently testing, and reporting on the operational and financial control sufficiency and effectiveness of SG Americas Securities' financial and regulatory reporting under SEC 17a-5 and CFTC rules. The team is responsible for control testing of all processes impacting financial and regulatory reporting across Front office, Middle office, Back office, Risk, and Finance departments, from transaction input to reporting. Perform all aspects of regulatory reporting level 2 control reviews on SEC 15c3-1, 15c3-3, 17a-13, Finra 2231, CFTC Seg, etc. (including mapping regulatory rules to controls, identifying design gaps, financial risk areas, conducting walkthroughs, testing control execution, and identifying control weaknesses, along with communication and follow-up of improvements). Lead staff assigned to level 2 control reviews, setting clear control objectives, managing time and budget, organizing communication, and providing feedback. Maintain high knowledge of SEC and Finra regulations on broker-dealer operations, monitor regulatory changes, and stay informed of industry trends impacting SG’s reporting framework. Represent the Finance Controls team to Senior Management. Coordinate with external auditors regarding controls and audit findings, and work with stakeholders on remediation. Promote technological improvements by automating workflows using business intelligence tools (Alteryx, Knime, PowerBI, Spotfire, etc.). Provide leadership within the team, guiding and training new or junior staff. Work collaboratively with first control teams to identify, measure, control, and report on aggregate risks. Profile required DIVISION DESCRIPTION: The Finance Department of GBIS is a global organization with local presence, delivering accurate financial reports, supporting business units, and ensuring compliance with accounting, prudential, and tax norms. SKILLS AND QUALIFICATIONS: Strong analytical skills for evaluating control frameworks and regulatory compliance. Robust audit skills and knowledge of SEC and Finra regulations. Product knowledge in broker-dealer operations, derivatives, loans, funding vehicles, currencies, fixed income, equities, and commodities. Ability to understand banking and investment processes and promote continuous improvement. Excellent communication skills for interaction across all staff levels and management. Technical Skills: Knowledge of SEC and Finra reporting requirements (e.g., SEC 15c3-1, 15c3-3, 17a-13, Finra 2231, etc.). Understanding of financial markets and investment products. Familiarity with accounting flows and impacts on P&L, Balance Sheet, and Off-Balance Sheet in US GAAP and IFRS. Experience: Minimum 8 years in regulatory examination, reporting, financial control, or related fields within banking and finance. Education: Bachelor’s in Finance, Accounting, or related field required. Series 27, CPA license, or similar certifications are a plus. Experience with SEC, Finra, or CFTC regulations is advantageous. Advanced degrees are a plus.

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