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Compliance Officer

2 months ago

Montreal Quebec GF, CA SGS Société Générale de Surveillance SA Full time
Responsibilities

The Compliance Department at Société Générale 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 Compliance Department enables the firm to operate according to essential compliance standards, ensures that Société Générale’s 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.

ABOUT THE JOB:

Société Générale’s Capital Market Surveillance (“CMS”) 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.

AMER CMS consists of three teams focused on: the monitoring of security transactions, the monitoring of audio and electronic Firm communications, and the design and testing of controls supporting the CMS program.

The AMER CMS Development and Testing Team ("CDT") is responsible for the design, testing, implementation, and ongoing management of internal and vendor provided surveillance controls across various asset classes and is responsible for its continuous quality assurance.

CDT is seeking an additional resource in the Firm’s Montreal office to support its monitoring of the AMER operations. This is an exciting opportunity to join the team where you will be working in a key area of Société Générale’s Compliance program interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.

What will be your DAY-TO-DAY?

The candidate will be involved in regional and global projects aimed at enhancing the AMER CMS program. As a member of CDT, responsibilities include, but are not limited to, the following:

  1. Conducting surveillance controls assessment to ensure their effectiveness, efficiency, and alignment with regulatory expectations
  2. Assessing regulatory risks associated with changes to regulations, new business initiatives and requisite surveillance control modifications
  3. Documenting and maintaining surveillance control business requirement documents and testing all control enhancements
  4. Supporting regional and global surveillance initiatives relating to program governance and control development, testing and deployment
  5. Assisting with compliance risk assessments
  6. Supporting CMS management with requests and investigations directed by Senior Compliance Management
Profile required

Skills and Qualifications:

Must Have:

  1. Bachelor’s Degree or its equivalent
  2. 3-10 years of experience in a trade surveillance role
  3. Strong knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
  4. Strong interpersonal and written/verbal communication skills
  5. Strong analytical, problem-solving, and organizational skills
  6. Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment
  7. Self-starter with the aptitude to work independently and in a team setting
  8. Strong attention to detail
  9. Experience with Microsoft Word, Excel, and PowerPoint

Nice to have:

  1. Degree specialized in Finance a plus
  2. Specialization in surveillance testing a plus
  3. Experience with vendor trade surveillance platforms (e.g., SMARTS, Trading Hub, etc) a plus

LANGUAGE: French and English

Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.

Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority ("FINRA").

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