Compliance Specialist

2 weeks ago

Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

About SGS Société Générale de Surveillance SA

We are 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.

Our team consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring audio and electronic Firm communications.

We are seeking an additional resource in our Montreal office to support our monitoring of U.S. operations.

This is an exciting opportunity to join our team where you will be working in a key area of our Compliance program interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.

Our Compliance Department oversees 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.

As a Compliance Officer, you will enable our firm to operate according to essential compliance standards, ensure 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.

Compliance acts 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 spread a culture of compliance within the Group.

What You Will Do

  • You will 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.
  • You will review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
  • You will participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
  • You will participate in the quality assurance and reasonability testing of surveillance controls.
  • You will contribute to the preparation of management metrics and reports.
  • You will participate in regional and global compliance initiatives and investigations.
  • You will assist with the review and analysis of new and/or amended industry rules and regulations.
  • You will assist with new business initiatives and their potential impact on the surveillance program.

Requirements

Mandatory Qualifications:

  • 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.

Estimated Salary Range: $80,000 - $120,000 per annum, depending on qualifications and experience.

Benefits:

  • 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 for 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 through various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).

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