Compliance Risk Management Specialist
4 days ago
Societe Generale's Capital Market Surveillance (CMS) team within the Compliance department is 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 transaction monitoring and the other on electronic firm communications. The US CMS Trade Surveillance team seeks an additional resource in the Montreal office to support its monitoring of the US market.
This opportunity allows you to join a key area of Societe Generale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.
The Compliance Department oversees compliance with laws, regulations, guidelines, and policies applying to the firm's banking and financial activities, particularly 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.
As a Compliance Monitoring Administrator, your responsibilities will include participating in the monitoring of security transactions for compliance with Exchange rules, reviewing trade surveillance alerts, escalating issues to relevant stakeholders, and participating in quality assurance and reasonability testing of surveillance controls.
You will also assist with the review and analysis of new and/or amended industry rules and regulations, as well as participate in regional and global compliance initiatives and investigations.
To succeed in this role, you must have a Bachelor's Degree or equivalent, 1-3 years of experience in trade surveillance, general compliance, and/or financial services, and proficiency in Microsoft Office tools.
An estimated salary for this position ranges from $60,000 to $90,000 per year, depending on location and experience.
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