Regulatory Compliance Risk Specialist
1 day ago
**About SGS Société Générale de Surveillance SA**
We are seeking a highly skilled Regulatory Compliance Risk Specialist to join our team in Montreal. As a key member of our Capital Market Surveillance department, you will play a crucial role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.
The US CMS Trade Surveillance team is responsible for monitoring the U.S. market, and we are looking for an additional resource to support this effort. This is an exciting opportunity to join a dynamic team where you will interact with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.
The Compliance Department at SGS Société Générale de Surveillance SA is responsible for overseeing compliance with laws, regulations, guidelines and policies that apply to the firm's banking and financial activities. Our department enables the firm to operate according to essential compliance standards, ensures that SGS Société Générale de Surveillance SA's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
As a Regulatory Compliance Risk Specialist, you 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. Your responsibilities will include:
- 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 the quality assurance and reasonability testing of surveillance controls.
- Participating in regional and global compliance initiatives and investigations.
- Assisting with the review and analysis of new and/or amended industry rules and regulations.
- Assisting with new business initiatives and their potential impact to the surveillance program.
**What We Offer**
Our compensation package includes a salary range of $80,000 - $110,000 per annum, depending on experience, as well as a comprehensive benefits package. This includes 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 (health, training, electronics etc.), fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family.
**Requirements**
To be successful in this role, you will need to 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 relating to Banking, Broker-Dealer and Futures Commission Merchant activity, experience with Microsoft Word, Excel, and PowerPoint. Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.
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