Capital Markets – Audit Associate (Prime Services)

Société Générale

New Hired from Société Générale

Job Description:

If this job matches your qualifications, please send your application directly through our latest Job site in Hybrid remote in New York, NY. Indeed, every job is not easy to apply because it must meet several qualifications and requirements that we must meet in accordance with the standard criteria of the Société Générale who are looking for potential candidates to work. Good job information Capital Markets – Audit Associate (Prime Services) below matches your qualifications.


Base Salary Range: $90,000 – $150,000 Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience.

The Business Auditor, Associate will be part of the Markets and Investment Management Audit Team (MARK). The group has four distinct mandates: i) cover the Markets & Investment Management businesses from Front to Back in the Americas; ii) cover Risk management teams (second line of defense) focused on four risk stripes namely Market, Counterparty, Model and Liquidity Risk; iii) cover Compliance to markets related regulations related to these businesses and iv) cover the broad Finance organization.

The Associate is expected to participate in audits across various business lines and support functions within the Americas regions. The Associates primary responsibilities will include, but not limited to:

  • Familiarity with compliance related reviews, including key regulations surrounding Futures Commissions Merchant (FCM) and Broker-Dealer activities, and key regulators such as the CFTC, NFA, SEC, FINRA
  • Working independently and responsibly on assigned tasks
  • Actively participating in all stages of the audit process: planning, testing, report drafting, and recommendation follow-up
  • Participating or leading periodic continuous monitoring meetings and annual risk assessments
  • Effectively communicating with auditees, developing a good relationship, anticipating and understanding any potential issues, and timely escalating when there is an issue
  • Analyzing assigned business processes, procedures, risks; and evaluating the internal controls to facilitate adopting a risk-based approach
  • Preparing high quality workpapers that support any findings and conclusions
  • Participating in department wide transformation projects, actively contributing to the changes and demonstrating readiness and willingness to apply the changes

Profile required

Technical Skills:

  • Familiarity with General Controls Reviews, Integrated audits between Business & IT auditors, pre-implementation reviews, cross-border reviews, regulatory compliance with OTC derivatives related rules.
  • Familiarity with Capital Markets businesses and understanding of Financial Services products
  • Familiarity with Risk Management best practices and how they apply in the Financial Services Industry
  • Familiarity with rules and regulations applicable to Markets and Investment Management businesses
  • Knowledge of data analytics techniques


  • Highly motivated and committed to lead and progress, willingness and readiness to provide help/support whenever needed
  • Excellent written / verbal communication skills, able develop professional relationship.
  • Demonstrates curiosityand enthusiasm for learning and self-development with a focus on growing within the market integrity space in an Internal Audit capacity.
  • Demonstrates strong prioritization, organizational and time management skills; able to meet all deadlines and proactively seek guidance when neede
  • Demonstrates openness to new ideas and suggestions and proposes new ideas and enhancements
  • Demonstrates strong analytical skills

Education/Prior Experience

  • Bachelor’s degree in Business, Accounting, Finance, Economics or on a quantitative field like Engineering or Mathematics
  • Preferred experience in or participated in reviews of Market Integrity and Compliance (incl. Dodd-Frank Act Title VII), preferably Over-the-counter (OTC) Swap or Security-Based Swap activity, Collateral Management (inc. initial & variation margin), business conduct standards, etc.
  • Relevant professional experience or course-work


  • Desire to pursue a relevant certification (CIA, FRM, CFA)
  • Languages (Other than English): French

Why join us

The Inspection and Group Audit Division (IGAD) represents Societe Generale’s independent internal audit function, comprised of over 1200 professionals covering SG’s global businesses and services in over 80 countries. The SG Internal Audit Americas (SGIAA) Department within IGAD is a group of about 80 professionals, based in New York, New Jersey, San Paulo and Bangalore, who are responsible for assessing SG’s multiple businesses in the Americas region.

SGIAA Department is looking to complement the team with driven individuals, who enjoy working in a fast-paced environment, are innovative and prepared to generate new ideas and “go the extra-mile” in achieving a common goal. Joining SGIAA will give you a unique opportunity to not only work on audit missions, but also to participate in department-wide projects aimed at transforming the team to the best in class.

Business insight


At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.


Our D&I Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients. Our D&I Vision: An engaged workforce that is demographically diverse in a way that reflects the communities in which we operate. An inclusive culture and workplace that recognizes employees’ unique needs and utilizes their diverse talents. To engage our community and marketplace and position the organization to meet the needs of all its clients. For more information about our D&I initiatives, please visit this link:


Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.

We are an
equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and
promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

  • Reference: 230008AU
  • Starting date: 2023/06/26
  • Publication date: 2023/03/21

How To Apply :

After reading and knowing the criteria and minimum qualification requirements that have been explained from the job info Capital Markets – Audit Associate (Prime Services) in the office Hybrid remote in New York, NY above, then the jobseeker who feels that he has not met requirements include education, age, etc. and are really interested in the latest job vacancy Full-time above, it should be as soon as possible to complete and compile a job application file such as a job application letter, CV or curriculum vitae and transcripts and other complements as described above, in order to register and participate in the admission selection for new employees at the company in question, sent via the link below.

Other Information :

  • Country : US

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