Compliance Monitoring Specialist
1 month ago
Société Générale's Capital Market Surveillance (CMS) team is a global entity within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
CMS consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring audio and electronic Firm communications.
The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the U.S. market.
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.
Key Responsibilities- Participate in the monitoring of security transactions for compliance with Exchange rules and be involved in regional and global projects aimed at enhancing the Trade Surveillance program.
- Review of trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
- Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
- Participate in the quality assurance and reasonability testing of surveillance controls.
- 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.
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance, general compliance, and/or financial services.
- Experience with Microsoft Word, Excel, and PowerPoint.
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.
Benefits- 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).
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociété Générale's Capital Market Surveillance team is seeking a skilled professional to join its ranks as a Compliance Monitoring Specialist. This exciting opportunity will see you working in a key area of the Compliance program, interacting with regional and global colleagues to mitigate regulatory and reputational risks.The Compliance...
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role:Société Générale's Capital Market Surveillance team is responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.The US CMS Trade Surveillance team is seeking an additional resource in the Montreal office to support its monitoring of the U.S....
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