Regulatory Compliance Specialist

1 week ago

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

About SGS Société Générale de Surveillance SA:

SGS Société Générale de Surveillance SA's Capital Market Surveillance team is a key part of the Compliance department, responsible for monitoring security transactions and firm communications to ensure compliance with relevant policies, industry rules, and regulations.

The team consists of two surveillance groups, one focused on monitoring security transactions and the other on monitoring audio and electronic firm communications.

The US-based Capital Market Surveillance Trade Surveillance team is seeking an additional resource in our Montreal office to support its monitoring of U.S. operations. This is an exciting opportunity to join the team where you will be working in a key area of our 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 SGS Société Générale de Surveillance SA oversees compliance with laws, regulations, guidelines, and policies applicable to our 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 our firm to operate according to essential compliance standards, ensures that SGS Société Générale de Surveillance SA'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.

Your Day-to-Day 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 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 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 reviewing and analyzing new and/or amended industry rules and regulations.
  • Assist with new business initiatives and their potential impact to the surveillance program.

Required Skills and Qualifications:

Mandatory Requirements:

  • Bachelor's Degree or equivalent qualification.
  • 1-3 years of experience in 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.

Estimated Salary Range: $80,000 - $110,000 per annum, depending on qualifications and experience. A competitive compensation package including benefits and bonuses will be offered to the successful candidate. Please note that this salary range is an estimate based on industry standards for a similar role in the location specified.

Benefits:

  • A comprehensive health insurance plan.
  • Generous retirement savings plan with company matching contributions.
  • Flexible paid time off policy with 20 vacation days and 4 personal days.
  • A supportive maternity, paternity, parental, and adoption leave policy.
  • Access to virtual healthcare assistance and an Employee Assistance Program.
  • Variety of employee resource groups to engage with.
  • Ongoing training programs and professional development opportunities.

Our Culture:

At SGS Société Générale de Surveillance SA, we live by our core values of commitment, responsibility, team spirit, and innovation. We prioritize relationships, act ethically, and foster a culture of continuous learning and improvement. Our mission is to deliver innovative solutions to clients while promoting a diverse and inclusive workplace.

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