Compliance Officer

6 days ago

Canada Société Générale Full time

**Responsibilities**:
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.

**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?**

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

**Profile required**:
**Skills and Qualifications**:
**Must Have**:

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

**Nice to have**:

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

**LANGUAGE**:
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.

**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 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.
**D&I**:
Our Diversity & Inclusion 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 o

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