Compliance Officer

3 weeks ago

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

About Our Team

Société Générale's Capital Market Surveillance (CMS) team is a global unit within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.

Our CMS team consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring audio and electronic Firm communications.

We are seeking an additional resource in the Firm's Montreal office to support our monitoring of the U.S. operations. This is an exciting opportunity to join the team where you will be working in a key area of Société Générale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.

Key Responsibilities

  • 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.
  • Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
  • Contribute to the preparation of management metrics and reports.
  • Participate in regional and global compliance initiatives and investigations.
  • Assist with the review and analysis of new and/or amended industry rules and regulations.
  • Assist with new business initiatives and their potential impact on the surveillance program.

Requirements

Must Have:

  • 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.
  • Strong interpersonal and written/verbal communication skills.
  • Strong analytical, problem-solving, and organizational skills.
  • Ability to balance multiple, simultaneous priorities in a fast-moving and demanding environment.
  • Self-starter with the aptitude to work independently and in a team setting.
  • Strong attention to detail.
  • Experience with Microsoft Word, Excel, and PowerPoint.

Language:

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.

Due to US Federal Securities law applying to this position, candidates who apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority (FINRA).

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