Financial Surveillance Compliance Officer
7 days ago
At SGS Société Générale de Surveillance SA, we are seeking a highly skilled Financial Surveillance Compliance Officer to join our team. This exciting opportunity will enable you to work in a key area of our Compliance program, interacting with regional and global colleagues within the surveillance team and across various business units to mitigate regulatory and reputational risks.
About the JobThe Compliance Department at SGS is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to our 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.
Our team enables the firm to operate according to essential compliance standards, ensures that our non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
We act as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spreading a culture of compliance within the Group.
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 quality assurance and reasonability testing of surveillance controls.
- 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.
- 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.
- An estimated salary of $80,000 - $120,000 per year, depending on qualifications and experience.
- 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.
- Variety of 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 to participate in various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
- A hybrid work environment that offers 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.
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