Compliance Officer

7 days ago

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

Societe Generale'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 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 Societe Generale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.

Company Overview

The Compliance Department at Societe Generale is responsible for overseeing compliance with laws, regulations, guidelines, 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 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.

Job Description
  • 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.
  • Contribute to 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 the review and analysis of new and/or amended industry rules and regulations.
Required Skills and Qualifications

Must-Have:

  • 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.
Estimated Salary Range

$80,000 - $120,000 per annum, depending on qualifications and experience.

Benefits
  • 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.
  • 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 employees to participate in various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
Our Culture

At SGS Societe Generale de Surveillance SA, we live by our 4 core values of commitment, responsibility, team spirit, and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes.

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