Regulatory Compliance Specialist
1 week ago
Societe Generale de Surveillance SA is seeking a skilled Regulatory Compliance Specialist to join our team in Montreal, Canada. The successful candidate will play a key role in the monitoring of security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
About UsSociete Generale de Surveillance SA is a global leader in capital market surveillance, committed to delivering innovative solutions to our clients. Our team is dedicated to providing exceptional service and ensuring that our clients' needs are met.
The RoleThis exciting opportunity is for a highly motivated individual with 1-3 years of experience in trade surveillance, general compliance, or financial services. The successful candidate will be responsible for:
- Reviewing trade surveillance alerts and escalating issues to relevant stakeholders for investigation and resolution.
- Participating in the development, testing, and implementation of new surveillance scenarios and minimum standards.
- Participating in quality assurance and reasonability testing of surveillance controls.
- Contributing to the preparation of management metrics and reports.
- Participating in regional and global compliance initiatives and investigations.
- Assisting with the review and analysis of new and/or amended industry rules and regulations.
To be considered for this position, you must have:
- Bachelor's Degree or equivalent.
- 1-3 years of experience in trade surveillance, general compliance, 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.
We offer a competitive salary range of $60,000-$80,000 per year, depending on experience. Other benefits include:
- 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.
- Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family.
- Variety of Employee Resource Groups (ERG) to engage with.
- Culture of continuous development through various training programs.
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