Compliance Monitoring Risk Analyst
1 week ago
SGS Societe Generale de Surveillance SA's Capital Market Surveillance team is a global entity within the Compliance department, dedicated to monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the U.S. market.
This role offers an exciting opportunity to join the team where you will be working 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 and reputational risks.
About the JobSociete Generale's Compliance Department oversees compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in areas such as 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.
The Compliance Department ensures the firm operates according to essential compliance standards, controls non-compliance and reputation risks, while supporting the business with existing activities and developing new products or services.
As a second line of defense, Compliance develops and implements policies, procedures, and controls, monitors activities, advises the business, assesses risks, and provides training to ensure understanding and application of requirements, contributing to spreading a culture of compliance within the Group.
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.
- Participate in quality assurance and reasonability testing of surveillance controls.
- Participate in regional and global compliance initiatives and investigations.
- Assist with reviewing and analyzing new and/or amended industry rules and regulations.
- Assist with new business initiatives and their potential impact on the surveillance program.
To succeed in this role, you will require:
- A Bachelor's Degree or its equivalent.
- 1-3 years of experience in either trade surveillance, general compliance, and/or financial services.
- Experience with Microsoft Word, Excel, and PowerPoint.
We offer a competitive compensation package including:
- 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 to participate in various training programs.
Estimated salary: $65,000 - $85,000 per year.
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