Compliance Officer
1 month ago
About the Role:
Societe Generale's Capital Market Surveillance (CMS) is 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.
The CMS team consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring audio and electronic Firm communications.
The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the U.S. operations. This is an exciting opportunity to join the team where you will be working in 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 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.
Key Responsibilities:
- Review of trade surveillance alerts and escalation of issues to relevant stakeholders for investigation and resolution.
- Participation in the development, testing, and implementation of new surveillance scenarios and minimum standards.
- Participation in the quality assurance and reasonability testing of surveillance controls.
- Contribution to the preparation of management metrics and reports.
- Participation in regional and global compliance initiatives and investigations.
- Assistance with the review and analysis of new and/or amended industry rules and regulations.
- Assistance with new business initiatives and their potential impact to the surveillance program.
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