Senior Risk Compliance Specialist

2 weeks ago

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

Société 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.

The CMS Trade Surveillance team in the Montreal office is seeking an additional resource to support its monitoring of U.S. operations. This is an exciting opportunity to join the team where you will work 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.

CMS enables the firm to operate according to essential compliance standards, ensures 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. As a member of the team, you will 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.

  1. Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
  2. Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
  3. Participate in quality assurance and reasonability testing of surveillance controls.
  4. Contribute to the preparation of management metrics and reports.
  5. Participate in regional and global compliance initiatives and investigations.
  6. Assist with the review and analysis of new and/or amended industry rules and regulations.
  7. Assist with new business initiatives and their potential impact on the surveillance program.

Requirements:

Must Have:

  1. Bachelor's Degree or its equivalent.
  2. 1-3 years of experience in either trade surveillance general compliance and/or financial services.
  3. General knowledge of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity.
  4. Strong interpersonal and written/verbal communication skills.
  5. Strong analytical, problem-solving, and organizational skills.
  6. Ability to balance multiple, simultaneous priorities in a fast-moving and demanding environment.
  7. Self-starter with the aptitude to work independently and in a team setting.
  8. Strong attention to detail.
  9. Experience with Microsoft Word, Excel, and PowerPoint.

Estimated Salary: $80,000 - $110,000 per year.

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 (health, training, electronics, etc.)
  • 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 our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).

About Us:

Societe Generale, 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.

Our Culture:

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. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.

Language: English.

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