Compliance Risk Mitigator
1 week ago
Company Overview:
Societe Generale's Capital Market Surveillance team, a key component of the Compliance department, plays a crucial role in monitoring security transactions and Firm communications to ensure adherence to applicable policies, industry rules, and regulations.
The US CMS Trade Surveillance team is seeking an additional resource to support its monitoring of the US market. This position offers an exciting opportunity to join a vital area of Societe Generale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.
Job Description:
As a Compliance Risk Mitigator, you will be responsible for participating in the monitoring of security transactions for compliance with Exchange rules. Your involvement will also extend to regional and global projects aimed at enhancing the Trade Surveillance program.
Your key 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
- Contributing to 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
- Contributing to new business initiatives and their potential impact on the surveillance program
Estimated Salary: $60,000 - $80,000 per annum, depending on experience.
Required Skills and Qualifications:
To be successful in this role, you will need:
- Bachelor's Degree or its equivalent
- 1-3 years of experience in either trade surveillance, general compliance, and/or financial services
- Proficiency in Microsoft Word, Excel, and PowerPoint
Language: English (fluency required)
Benefits:
Societe Generale offers a competitive compensation package, including 20 vacation days, supportive maternity and paternity leave policy, health spending account, personal spending account, and fully sponsored virtual healthcare assistance and Employee Assistance Program.
Work Environment:
We offer a hybrid work arrangement that provides employees with flexibility to work remotely and on-site, promoting interaction and collaboration with colleagues while adhering to all Societe Generale standard protocols.
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