Regulatory Compliance Specialist

1 day ago


Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time
Company Overview
SGS Société Générale de Surveillance SA's Capital Market Surveillance team is a global entity within the Compliance department, responsible for ensuring the firm's transactions and communications align with industry rules and regulations.

The US CMS Trade Surveillance team in Montreal seeks an additional resource to support monitoring of security transactions. This role presents an exciting opportunity to work in a key area of Société Générale's Compliance program, interacting with regional and global colleagues to mitigate regulatory risks.

Salary
The estimated salary for this position ranges from $80,000 to $120,000 per annum, depending on experience.

Job Description
About the Role:
The Regulatory Compliance Specialist will participate in monitoring security transactions for compliance with Exchange rules, review trade surveillance alerts, and escalate issues to relevant stakeholders for investigation and resolution.

Key responsibilities include:
  • Participating in regional and global projects aimed at enhancing the Trade Surveillance program.
  • Reviewing trade surveillance alerts and escalating issues to relevant stakeholders.
  • Developing, testing, and implementing new surveillance scenarios and minimum standards.
  • Assisting with quality assurance and reasonability testing of surveillance controls.
  • Participating in regional and global compliance initiatives and investigations.

Required Skills and Qualifications:
The ideal candidate should possess a Bachelor's Degree or equivalent, 1-3 years of experience in trade surveillance, general compliance, or financial services, and proficiency in Microsoft Office applications.

Benefits:
SGS offers a comprehensive benefits package, including competitive compensation, minimum 20 vacation days, supportive leave policies, health spending accounts, and virtual healthcare assistance.

Hiring Details:
Due to US Federal Securities law, candidates may be required to undergo enhanced background screening, including fingerprint collection by a third-party vendor selected by FINRA.

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