Compliance Officer

6 days ago

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

Societe Generale de Surveillance SA is seeking a highly skilled Compliance Officer - Surveillance Specialist to join its Capital Market Surveillance team. As a key member of the team, you will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.

Key Responsibilities
  1. Conduct surveillance controls assessments to ensure their effectiveness, efficiency, and alignment with regulatory expectations.
  2. Assess regulatory risks associated with changes to regulations, new business initiatives, and requisite surveillance control modifications.
  3. Document and maintain surveillance control business requirement documents and test all control enhancements.
  4. Support regional and global surveillance initiatives relating to program governance and control development, testing, and deployment.
  5. Assist with compliance risk assessments.
  6. Support CMS management with requests and investigations directed by Senior Compliance Management.
Requirements
  • Bachelor's Degree or its equivalent.
  • 3-10 years of experience in a trade surveillance role.
  • Strong 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.
Preferred Qualifications
  • Degree specialized in Finance a plus.
  • Specialization in surveillance testing a plus.
  • Experience with vendor trade surveillance platforms (e.g., SMARTS, Trading Hub, etc.) a plus.
Language

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.

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 to participate in various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
About Our Culture

At Societe Generale de Surveillance SA, 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. Societe Generale de Surveillance SA is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

Work Environment

Societe Generale de Surveillance SA 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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