Risk Management Specialist
3 weeks ago
About This Role
Société Générale de Surveillance SA's Capital Market Surveillance team is a global unit within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with industry regulations and policies.
The team 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 to support its monitoring of U.S. operations in the Montreal office. This is an exciting opportunity to join the team, 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.
The Compliance Department at Société Générale is responsible for overseeing compliance with laws, regulations, and policies that apply to the firm's banking and financial activities, particularly in areas such as anti-money laundering, anti-terrorism financing, sanctions & embargoes, know-your-customer obligations, client protection, market integrity, anti-bribery & corruption, data protection, and client tax transparency.
The Compliance Department enables the firm to operate according to essential compliance standards, ensuring 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. Compliance acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spreading a culture of compliance within the Group.
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.
- Contribute to the preparation of 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.
- Assist with new business initiatives and their potential impact to the surveillance program.
Requirements
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance general compliance and/or financial services.
- General 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.
LANGUAGE: English
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.
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