Compliance Officer

2 weeks ago

Montréal, Canada Société Générale Full time

**Responsibilities**:
Societe Generale is a global financial institution and one of the largest foreign corporate and investment banks. As such, it has a diverse population which fosters opportunity to collaborate with colleagues in different countries as well as access to international mobility. The firm recently unveiled its new brand platform “The Future is You” which not only demonstrates its commitment and responsibility to its clients, but also to its employees as their ideas and actions can make an impact on the direction of the organization.

**ABOUT THE JOB**:
The SGCC Compliance department has a broad compliance mandate. This mandate encompasses AML, sanctions, surveillance, regulatory reporting, advisory, registrations, technical reviews, testing and monitoring, regulatory watch, project management, connectivity and more.

The Compliance Officer will report to the Senior Compliance Manager and is expected to work with his colleagues within various departments and assist the Canada Business Coverage Compliance team in the performance of the department’s functions.

**What will be your DAY-TO-DAY?**- Conduct/Oversee regulatory surveillance of transactions on Canadian marketplaces (TSX and other Canadian equity marketplaces, Montreal Exchange) through automated and manual systems and perform other periodic trade desk reviews
- Answer regulatory requests, in the context of on-site examinations, investigations, enquiries, etc.
- Maintain registration of employees through National Registration Database
- Maintain continuous education file for each registered employee
- Review escalations pertaining to electronic and voice communication of employees
- Monitor personal transactions of employees
- Prepare and communicate SRO Reports (IIROC, MX), as well as internal reports to management on a timely basis
- Conduct internal investigations on potential breach of rules/regulations and company policies as needed
- Develop and maintain Compliance Policies, departmental procedures and other documentation
- Keep up-to-date with exchange rules and relevant regulations relating to the business of the Firm, and share information with colleagues to ensure that the Department maintains up-to-date knowledge in order to perform its functions.
- Provide assistance and guidance to the business and operations in relation to the on-going implementation of Compliance Policy and regulatory requirements
- Assist in the implementation of monitoring tools that are required to be produced for regulators and exchanges
- Assist in the development and delivery of training to all staff on Compliance and Exchange matters

**Profile required**:
**Skills and Qualifications**:

- Able to deal with the day to day administrative requirements in the team, as well as ad hoc issues
- Ability to work under own initiative and experience when targets and tasks are set
- Ability to analyze issues and problems
- Ability to interact with staff of all departments and at all levels
- Proficiency in Excel
- Familiarity with trading platforms (Fidessa, Bloomberg)
- Knowledge of SMARTS Brokers
- Strong written and verbal communication skills
- Fluent in French and English, both written and verbal

**Experience**:

- 5 years Compliance experience.
- 7+ years Financial Industry experience.
- Knowledge of listed derivatives and securities products.

**Prefered**:
Bachelor’s degree of Finance, Accounting or Economy recommended.

No specific registration or certification required. However, various CSI courses (or equivalent) on securities and derivatives are recommended. They are:

- Canadian Securities Course
- CPH Course
- Trader Training Course
- Derivatives Fundamentals Courses

**Why join us**:
**OUR Benefits**:
**WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALE**

Competitive compensation & benefits offering, including but not limited to:

- Minimum of 20 Vacation days + 4 personal days
- Supportive Maternity, paternity, parental and adoption leave policy
- Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.)
- Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family
- Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.
- A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others)

**Business insight**:
**OUR CULTURE**:
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 an

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