Compliance Monitoring Specialist
4 weeks ago
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. We are seeking a Compliance Monitoring Specialist to support our monitoring of security transactions and Firm communications in the US market.
The ideal candidate will have a strong understanding of regulatory requirements and experience in trade surveillance, general compliance, and/or financial services. They will be responsible for participating in the monitoring of security transactions, reviewing trade surveillance alerts, and escalating issues to relevant stakeholders for investigation and resolution.
The successful candidate will have excellent communication and analytical skills, with the ability to work collaboratively with colleagues and stakeholders. They will also have experience with Microsoft Word, Excel, and PowerPoint.
Key Responsibilities:
- Participate in the monitoring of security transactions for compliance with Exchange rules.
- Review trade surveillance alerts and escalate issues to relevant stakeholders.
- Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
- Participate in regional and global compliance initiatives and investigations.
- Assist with the review and analysis of new and/or amended industry rules and regulations.
Requirements:
- 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.
Language: English
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociété Générale's Capital Market Surveillance team is seeking a skilled Compliance Monitoring 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.The ideal...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociété Générale's Capital Market Surveillance team is seeking a skilled professional to join its ranks as a Compliance Monitoring Specialist. This exciting opportunity will see you working in a key area of the Compliance program, interacting with regional and global colleagues to mitigate regulatory and reputational risks.The Compliance...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociété Générale's Capital Market Surveillance team is seeking a skilled professional to join its Montreal office. As a Compliance Monitoring Specialist, you will play a key role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The successful candidate...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role: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.The US CMS Trade Surveillance team is seeking an additional resource in the Montreal office to support its monitoring of the U.S....
-
Compliance Risk Monitoring Specialist
2 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociete Generale de Surveillance SA is seeking a Compliance Risk Monitoring Specialist to join its Capital Market Surveillance team in Montreal. This exciting opportunity involves monitoring security transactions and Firm communications to ensure compliance with industry rules and regulations.The successful candidate will work in a key area of...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout SGS Société Générale de Surveillance SAWe are seeking a Compliance Monitoring Specialist to join our team in Montreal. As a key member of our Capital Market Surveillance team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The ideal...
-
Compliance Monitoring Specialist
4 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role:Société Générale's Capital Market Surveillance team is seeking a skilled Compliance Monitoring Specialist to join its global team. 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.The ideal...
-
Compliance Monitoring Operations Specialist
2 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the RoleSociété Générale's Capital Market Surveillance team is a global entity within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations. This role offers an exciting opportunity to join the US CMS Trade Surveillance team...
-
Compliance Monitoring Specialist
4 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role: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.The team consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring audio and...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété 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...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role: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.The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété Générale's Capital Market Surveillance (CMS) team is a global entity 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...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété 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...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété Générale's Capital Market Surveillance (CMS) team is a global entity within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The CMS team consists of two surveillance teams, one focused on monitoring...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété 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...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Job: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.CMS consists of two surveillance teams, one focused on monitoring security transactions...
-
Compliance Monitoring Specialist
2 months ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociété Générale's Capital Market Surveillance (CMS) team is a global entity 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...
-
Compliance Monitoring Specialist
4 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role:Société Générale's Capital Market Surveillance (CMS) team is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The US CMS Trade Surveillance team is seeking a resource to support its monitoring of the U.S. market. This is an exciting...
-
Compliance Monitoring Specialist
1 month ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the JobSociete 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...
-
Compliance Monitoring Specialist
4 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the Role:Société Générale's Capital Market Surveillance (CMS) team is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The US CMS Trade Surveillance team is seeking a resource to support its monitoring of the U.S. market. This is an exciting...
