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Compliance Officer

2 months ago

Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time
About the Role:
Société Générale's Capital Market Surveillance team is responsible for monitoring security transactions to ensure compliance with industry rules and regulations. We are seeking a Compliance Officer to support our US operations in Montreal. As a key member of our team, you will work closely with regional and global colleagues to mitigate regulatory and reputational risks.

The Compliance Department at Société Générale oversees compliance with laws, regulations, and policies applicable to the firm's banking and financial activities. Our team enables the firm to operate according to essential compliance standards, ensuring that non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.

Key Responsibilities:
  • Participate in monitoring security transactions for compliance with Exchange rules and regional/global projects to enhance 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.
  • Assist with the preparation of management metrics and reports.
  • Participate in regional and global compliance initiatives and investigations.