Compliance Risk Management Specialist
7 days ago
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 US CMS Trade Surveillance team is seeking an additional resource in our Montreal office to support its monitoring of the U.S. market. This is an exciting opportunity to join the team where you will be working in a key area of Société Générale'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 Société Générale 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.
We enable the firm to operate according to essential compliance standards, ensuring that Société Générale's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
Our 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.
Job Description- Participate in the monitoring of security transactions for compliance with Exchange rules.
- Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
- Participate in the development, testing and implementation of new surveillance scenarios and minimum standards.
- Participate in the quality assurance and reasonability testing of surveillance controls.
- Participate in regional and global compliance initiatives and investigations.
- Assist with the review and analysis of new and/or amended industry rules and regulations.
- Assist with new business initiatives and their potential impact on the surveillance program.
Skills and Qualifications:
Must Have:
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance general compliance and/or financial services.
- Experience with Microsoft Word, Excel, and PowerPoint.
Estimated Salary: $80,000 - $120,000 per year
Société Générale offers a competitive salary range based on location, experience, and qualifications.
Benefits:
- 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 various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
Work Environment:
Société Générale 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.
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