Regulatory Surveillance Specialist

3 days ago

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

About Socièté Générale's Capital Market Surveillance


Socièté Générale's Capital Market Surveillance (CMS) is a global team 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 Socièté 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 Socièté Générale is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in the areas of 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, ensures that Socièté 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 spread a culture of compliance within the Group.


Key Responsibilities

  • Participate in the monitoring of security transactions for compliance with Exchange rules.
  • Review 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 on the surveillance program.

Requirements

To be successful in this role, you will need:



  • 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.

This role requires strong analytical and problem-solving skills, attention to detail, and excellent communication skills. You will need to be able to work effectively in a team environment and adapt to changing priorities and deadlines.


We offer a competitive salary, ranging from $80,000 to $120,000 per year, depending on experience and qualifications.

  • Regulatory Surveillance Specialist

    3 days ago

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

    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.About the JobThe US CMS Trade Surveillance team in Montreal is seeking an additional resource to support its monitoring of the U.S. market. This...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistAre you passionate about ensuring compliance with regulatory requirements? Do you have a keen eye for detail and a strong understanding of financial regulations? We are seeking a highly motivated and experienced Regulatory Affairs Specialist to join our team at SGS Société Générale de Surveillance SA.Key...

  • Regulatory Compliance Specialist

    19 hours ago

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

    Societe Generale de Surveillance SA is a leading global player in capital market surveillance, committed to ensuring compliance with industry rules and regulations.The US Capital Market Surveillance team is seeking an experienced Regulatory Compliance Specialist to support its monitoring of security transactions and Firm communications in the Montreal...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global Compliance department. As a key member of the team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies,...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global team. As a key member of the Compliance department, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies,...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistSociété Générale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global Compliance department. As a key member of the team, you will play a critical role in ensuring the firm's compliance with applicable policies, industry rules, and regulations.Key...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join our global Compliance department. As a key member of our team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies,...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job Title: Regulatory Affairs SpecialistSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join our global Compliance department. As a key member of our team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies,...

  • Regulatory Compliance Surveillance Specialist

    3 days ago

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

    About SGS Société Générale de Surveillance SASociété Générale's Capital Market Surveillance (CMS) is a global team 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...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Regulatory Affairs Specialist to join its global Compliance department. As a key member of the US CMS Trade Surveillance team, you will play a crucial role in monitoring security transactions and Firm communications to ensure compliance with industry rules and...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Regulatory Affairs Specialist to join its Montreal office. 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.Key...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the RoleSociete Generale is seeking a highly skilled Regulatory Affairs Specialist to join its Capital Market Surveillance 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.Key...

  • Trade Surveillance Specialist

    3 days ago

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

    About the RoleAs a Trade Surveillance Specialist at SGS Société Générale de Surveillance SA, you will play a critical role in monitoring security transactions to ensure compliance with Exchange rules and regulations. This is an exciting opportunity to join a global team within the Compliance department, interacting with regional and global colleagues to...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the RoleWe are seeking a highly skilled Regulatory Affairs 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 standards.Key...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the JobSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global team within the Compliance department. The ideal candidate will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    Job DescriptionSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global Compliance department. 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...

  • Regulatory Affairs Specialist

    4 weeks ago

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

    About the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a highly skilled Regulatory Affairs Specialist to join its global team in Montreal. As a key member of the Compliance department, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry...

  • Trade Surveillance Specialist

    37 minutes ago

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

    Societe Generale de Surveillance SA'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 team consists of two surveillance groups, one focused on the monitoring of security transactions and the other on the monitoring of...

  • Regulatory Affairs Professional

    4 weeks ago

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

    About the RoleWe are seeking a highly skilled Regulatory Affairs 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 applicable laws, regulations, and industry standards.Key...

  • Senior Surveillance Officer, Cross-Assets

    4 weeks ago

    Montreal, Quebec, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Senior Surveillance Officer, Cross-AssetsAt the Investment Industry Regulatory Organization of Canada, we are seeking a highly skilled Senior Surveillance Officer, Cross-Assets to join our team.About the RoleThe successful candidate will be responsible for contributing to the market integrity through the provision of trade surveillance, detection,...