Compliance Officer

1 week ago

Montreal, Quebec, Canada QUANTEAM - North America (RAINBOW PARTNERS Group) Full time

About the Company:

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 different nationalities, collaborates across 10 international offices: Paris, Lyon, New York, Montreal, London, Brussels, Geneva, Lisbon, Porto and Casablanca.

We are looking for a Compliance officer specialised with Trade surveillance for one of our clients, an investment bank set in Montreal

Role Overview :

The team's Department is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm's banking and financial activities, particularly in the areas of anti-money laundering, anti-terrorism financing, sanctions & embargoes, know-your-customer obligations, client protection, market integrity, anti-bribery & corruption, data protection and client tax transparency.

The Department enables the firm to operate according to essential compliance standards, ensures that the firm non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.

Compliance acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spread a culture of compliance within the Group.

The team 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.

It consists of two surveillance teams, one focused on the monitoring of security transactions and the other on the monitoring of audio and electronic Firm communications.

The team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the U.S. operations.

Key responsibilities:

The responsibilities of this role include, but are not limited to :


• Review of electronic and audio communication alerts across various business units and escalate issues to relevant stakeholders for investigation and resolution


• Participate with the development, testing and implementation of new surveillance scenarios and minimum standards


• Participate in regional and global compliance initiatives and investigations


• Assist with the review and analysis of new and/or amended industry rules and regulations


• Assist with new business initiatives and their potential impact to the surveillance program


• Collaborate with regional and global colleagues across multiple departments including but not limited to Front Office, Operations, Technology and Legal


• Contribute to the preparation of management metrics and reports

Required Qualifications and Skills:


• 1 to 3 years of experience in either communication surveillance, general compliance and/or financial services


• Bachelor degree or equivalent


• Knowledge of trading and brokerage operations – front to back processing


• Knowledge of Fixed Income or Equities instruments


• Advanced skills in working with business clients (front office, accounting, finance, and risk) to understand and document business requirements and priorities, as well as develop technical or user process solutions


• Previous experience working with developer teams, with a solid understanding of major SDLC approaches, particularly Agile methodology


• Proficiency in understanding and creating queries in SQL


• Proficiency in Excel, Word, Microsoft Power Point


• Ability to manage multiple priorities, commitments, and projects


• Excellent verbal and written communication abilities

Education:


• Bachelor degree or equivalent

Language :


• English : mandatory


• French : Mandatory

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