Compliance Officer

2 weeks ago

Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time
About the Role

We are seeking a highly skilled Compliance Officer - Trade Surveillance Specialist to join our team at SGS Société Générale de Surveillance SA. As a key member of our Compliance Department, you will play a critical role in ensuring the firm's banking and financial activities comply with relevant laws, regulations, and industry guidelines.

Key Responsibilities
  • Conduct surveillance controls assessments to ensure their effectiveness, efficiency, and alignment with regulatory expectations.
  • Assess regulatory risks associated with changes to regulations, new business initiatives, and requisite surveillance control modifications.
  • Document and maintain surveillance control business requirement documents and test all control enhancements.
  • Support regional and global surveillance initiatives relating to program governance and control development, testing, and deployment.
  • Assist with compliance risk assessments.
  • Support CMS management with requests and investigations directed by Senior Compliance Management.
Requirements

To be successful in this role, you will need:

  • A 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.
Preferred Qualifications
  • 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

We offer a competitive compensation and benefits package, including:

  • 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).
Our Culture

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. We are committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

For more information about our Culture and Conduct initiatives, please visit this link (Culture and Conduct Initiatives).

Diversity & Inclusion

We are committed to creating an inclusive workplace that values diversity and promotes equal opportunities for all employees. Our Diversity & Inclusion Mission is to 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 Diversity & Inclusion Vision is to have 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, and 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 (Diversity and Inclusion Initiatives).

Hybrid Work Environment

We offer a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order 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.

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