Compliance Officer
7 days ago
Societe Generale's Capital Market Surveillance (CMS) team is seeking a skilled professional to join its Montreal office. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
The successful candidate will have a strong understanding of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity. They will also possess excellent interpersonal and written/verbal communication skills, as well as strong analytical, problem-solving, and organizational abilities.
Key Responsibilities- Participate in the monitoring of security transactions for compliance with Exchange rules and contribute to regional and global projects aimed at enhancing the Trade Surveillance program.
- Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
- Develop, test, and implement new surveillance scenarios and minimum standards.
- Contribute to the quality assurance and reasonability testing of surveillance controls.
- Prepare management metrics and reports.
- Participate in regional and global compliance initiatives and investigations.
- Assist with the review and analysis of new and/or amended industry rules and regulations.
- Support new business initiatives and their potential impact on the surveillance program.
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance, general compliance, and/or financial services.
- Strong knowledge of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity.
- Excellent 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.
English is the primary language of communication for this role, and the ability to communicate in English, both orally and in writing, is a requirement.
Benefits- Competitive compensation and benefits package.
- Minimum of 20 vacation days + 4 personal days.
- Supportive maternity, paternity, parental, and adoption leave policy.
- Health spending and personal spending accounts.
- Fully sponsored virtual healthcare assistance and Employee Assistance Program.
- Various Employee Resource Groups (ERG) to engage with.
- Culture of continuous development through training programs.
Societe Generale is a global financial institution that operates according to essential compliance standards. Our Compliance Department enables the firm to operate according to essential compliance standards, ensures that Societe Generale's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
Our culture is built on four core values: commitment, responsibility, team spirit, and innovation. We are engaged and demonstrate consideration for others, act ethically and with courage, focus our talent and energy on collective success, and experiment and propose new ideas.
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.
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Compliance Officer to join its global team in Montreal. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled professional to join its Montreal office. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Compliance Officer to join its global team in Montreal. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Compliance Officer to join its global team in Montreal. As a key member of the team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The CMS team...
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