Societe Generale
Broker Dealer Regulatory Reporting Controller
Societe Generale, Jersey City, New Jersey, United States, 07390
Broker Dealer Regulatory Reporting Controller
Role focused on designing and executing regulatory and financial control testing for SG Americas Securities, covering SEC and FINRA/CFTC regulatory reporting and related control frameworks across front, middle, and back office processes. Responsibilities
Design test plans, collect samples, independently test, and report on the sufficiency and effectiveness of operational and financial controls related to SG Americas Securities regulatory reporting under SEC 17a-5 and CFTC rules. Perform regulatory reporting level 2 control reviews on SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg, and related rules; map regulatory requirements to existing controls, identify design gaps, assess financial risk areas, conduct walkthroughs, test control execution, and communicate remediation needs. Lead staff on level 2 control reviews when applicable, setting objectives, managing time/budget, and coordinating with project members and stakeholders. Maintain strong knowledge of SEC and FINRA regulations governing broker-dealer operations; monitor risk evolution, regulatory changes, and industry developments to assess impact on SG\'s regulatory reporting framework. Represent the Finance Controls team to senior management and interact with external auditors on SG controls and audit findings; coordinate remediation with stakeholders. Promote technological improvements by automating workflows using BI tools (e.g., Alteryx, Knime, PowerBI, Spotfire). Provide leadership within the team, participate in longer-term goals, and guide/train junior staff. Collaborate with first control teams to independently identify, measure, control, and report aggregate risks. Required qualifications and profile
Analytical skills to assess the control framework and regulatory application for broker-dealer operations. Strong audit skills with good knowledge of SEC and FINRA regulations. Product knowledge in broker-dealers including derivatives, loans, funding vehicles, currencies, fixed income, equity securities, and commodities. Understanding of Banking & Investment business lines; ability to challenge processes with a continuous improvement mindset. Effective communication across a wide range of staff and management. Technical knowledge: SEC and FINRA regulatory reporting requirements (e.g., SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg), financial markets and investment products, and P&L/Balance Sheet flows under US GAAP and IFRS. Experience: 8+ years in regulatory examination, regulatory reporting, financial control or related field in Banking & Financial Industry. Education: Bachelor’s degree in Finance or Accounting; Series 27 and CPA a plus; experience with SEC, FINRA, or CFTC a plus; advanced degree a plus. Business insight
Societe Generale is committed to an inclusive recruitment experience. If you require reasonable accommodations during the recruitment process, please inform our recruiters. Culture and Diversity & Inclusion
Our culture emphasizes commitment, responsibility, teamwork, and innovation. We are committed to diversity and inclusion and provide resources and initiatives to promote an inclusive workplace. For more information about our culture and D&I initiatives, visit our careers and diversity pages.
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Role focused on designing and executing regulatory and financial control testing for SG Americas Securities, covering SEC and FINRA/CFTC regulatory reporting and related control frameworks across front, middle, and back office processes. Responsibilities
Design test plans, collect samples, independently test, and report on the sufficiency and effectiveness of operational and financial controls related to SG Americas Securities regulatory reporting under SEC 17a-5 and CFTC rules. Perform regulatory reporting level 2 control reviews on SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg, and related rules; map regulatory requirements to existing controls, identify design gaps, assess financial risk areas, conduct walkthroughs, test control execution, and communicate remediation needs. Lead staff on level 2 control reviews when applicable, setting objectives, managing time/budget, and coordinating with project members and stakeholders. Maintain strong knowledge of SEC and FINRA regulations governing broker-dealer operations; monitor risk evolution, regulatory changes, and industry developments to assess impact on SG\'s regulatory reporting framework. Represent the Finance Controls team to senior management and interact with external auditors on SG controls and audit findings; coordinate remediation with stakeholders. Promote technological improvements by automating workflows using BI tools (e.g., Alteryx, Knime, PowerBI, Spotfire). Provide leadership within the team, participate in longer-term goals, and guide/train junior staff. Collaborate with first control teams to independently identify, measure, control, and report aggregate risks. Required qualifications and profile
Analytical skills to assess the control framework and regulatory application for broker-dealer operations. Strong audit skills with good knowledge of SEC and FINRA regulations. Product knowledge in broker-dealers including derivatives, loans, funding vehicles, currencies, fixed income, equity securities, and commodities. Understanding of Banking & Investment business lines; ability to challenge processes with a continuous improvement mindset. Effective communication across a wide range of staff and management. Technical knowledge: SEC and FINRA regulatory reporting requirements (e.g., SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231, FINRA 4210, CFTC Seg), financial markets and investment products, and P&L/Balance Sheet flows under US GAAP and IFRS. Experience: 8+ years in regulatory examination, regulatory reporting, financial control or related field in Banking & Financial Industry. Education: Bachelor’s degree in Finance or Accounting; Series 27 and CPA a plus; experience with SEC, FINRA, or CFTC a plus; advanced degree a plus. Business insight
Societe Generale is committed to an inclusive recruitment experience. If you require reasonable accommodations during the recruitment process, please inform our recruiters. Culture and Diversity & Inclusion
Our culture emphasizes commitment, responsibility, teamwork, and innovation. We are committed to diversity and inclusion and provide resources and initiatives to promote an inclusive workplace. For more information about our culture and D&I initiatives, visit our careers and diversity pages.
#J-18808-Ljbffr