Regulatory Compliance Specialist

1 month ago


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

Societe Generale de Surveillance SA is a leading global player in capital market surveillance, committed to ensuring compliance with industry rules and regulations.

The US Capital Market Surveillance team is seeking an experienced Regulatory Compliance Specialist to support its monitoring of security transactions and Firm communications in the Montreal office. This exciting opportunity will enable you to work in a key area of Societe Generale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory risks.

As a Regulatory Compliance 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.

Key Responsibilities:

  • 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.
  • Contribute to the preparation of management metrics and reports.
  • Assist with the review and analysis of new and/or amended industry rules and regulations.
  • Collaborate with cross-functional teams to implement effective compliance solutions.

Requirements:

We are looking for a highly motivated and detail-oriented individual with 1-3 years of experience in either trade surveillance, general compliance, and/or financial services. You should have a Bachelor's Degree or its equivalent and strong analytical, problem-solving, and organizational skills.

Benefits:

  • A competitive salary range: $80,000 - $120,000 per year
  • 20 vacation days + 4 personal days
  • Supportive maternity, paternity, parental, and adoption leave policy
  • Health spending and personal spending accounts
  • Fully sponsored virtual healthcare assistance and Employee Assistance Program
  • Diverse Employee Resource Groups (ERG) to engage with
  • Ongoing training programs and career development opportunities

About Us:

Societe Generale de Surveillance SA values commitment, responsibility, team spirit, and innovation. We foster a culture of continuous learning and development, encouraging our employees to grow professionally and personally. Join us in shaping the future of capital market surveillance



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