Regulatory Risk Manager

4 weeks ago

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

At SGS Societe Generale de Surveillance SA, we are seeking a highly skilled Compliance Officer to join our team in Montreal. This is an exciting opportunity to work 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.

The Compliance Department at SGS Societe Generale de Surveillance SA 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 act 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.

About the Job

The candidate will 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 of 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.
  • Contribute to the preparation of management metrics and reports.
  • 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.

This role requires a strong understanding of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity.

Required Skills and Qualifications

To be successful in this role, you should have:

  • A Bachelor's Degree or its equivalent.
  • 1-3 years of experience in either trade surveillance general compliance and/or financial services.
  • General knowledge of applicable regulations.
  • 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.

Languages: English and French

You will need to communicate in English, both orally and in writing, to collaborate regularly with colleagues and partners in the United States.

The estimated salary for this position is $80,000 - $110,000 per year, depending on experience.

Benefits

SGS Societe Generale de Surveillance SA offers a competitive compensation package, including:

  • A 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 by encouraging employees various training programs.
About Us

Societe Generale 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.

We value diversity and inclusion, and strive to create a workplace where everyone feels valued, respected, and empowered to succeed.

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