Compliance Risk Management Specialist
2 weeks ago
SGS Société Générale de Surveillance SA's Capital Market Surveillance (CMS) team is a global unit within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.
Job DescriptionWe are seeking an additional resource in our Montreal office to support the monitoring of U.S. operations, 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.
Responsibilities- 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.
- Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
- Contribute to the development, testing and implementation of new surveillance scenarios and minimum standards.
- Ensure the quality assurance and reasonability testing of surveillance controls.
- Prepare management metrics and reports.
- Participate in regional and global compliance initiatives and investigations.
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance general compliance and/or financial services.
- 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.
- Able 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.
$85,000 - $105,000 per year, depending on experience, plus benefits.
This position requires the ability to communicate in English, both orally and in writing, as you will need to collaborate regularly with colleagues and partners in the United States.
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