Compliance Risk Specialist
1 month ago
About Societe Generale's Compliance Department:
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 the areas of 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, ensures 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 Summary:
We are seeking a highly skilled Compliance Risk Specialist to join our team in Montreal. As a Compliance Risk Specialist, you will be responsible for participating in the monitoring of security transactions for compliance with Exchange rules, reviewing trade surveillance alerts, and escalating issues to relevant stakeholders for investigation and resolution.
Key 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 of 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 the 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.
- Assist with new business initiatives and their potential impact to the surveillance program.
Requirements:
- 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.
LANGUAGE: French, English
Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.
Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority (FINRA).
Benefits:
- Competitive compensation & benefits offering, including but not limited to:
- 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).
Culture:
At 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.
Hybrid Work Environment:
Societe Generale offers 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.
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