Compliance Officer

1 week ago

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

About Our Team


Societe Generale de Surveillance SA's Capital Market Surveillance (CMS) team is a global force within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with relevant policies, industry rules, and regulations.


CMS comprises 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 our Montreal office to support our US CMS Trade Surveillance team. This exciting opportunity allows you to join 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.


Our Compliance Department oversees compliance with laws, regulations, guidelines, and policies that apply to our 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 enables the firm to operate according to essential compliance standards, ensures that non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of 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 a culture of compliance within the Group.


Day-to-Day 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.
  • Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
  • Participate in the quality assurance and reasonability testing of surveillance controls.
  • 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 and Qualifications


Mandatory:



  • 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.

About Your Compensation Package


We offer a competitive compensation package, including:



  • A base salary of approximately $90,000 per year.
  • A minimum of 20 vacation days plus 4 personal days.
  • Supportive maternity, paternity, parental, and adoption leave policy.
  • Health spending ($2,000/year) and personal spending ($1,000/year) accounts with over 75 eligible reimbursement categories.
  • Fully sponsored virtual healthcare assistance and Employee Assistance Program for you and your immediate family.
  • Variety of Employee Resource Groups (ERG) to engage with.
  • A culture of continuous development through various training programs.

About Our Company Culture


We live by our core values of commitment, responsibility, team spirit, and innovation. We are engaged and demonstrate consideration for others, acting ethically and with courage. We focus our talent and energy on collective success, experimenting and proposing new ideas to maximize our ability to serve client needs and anticipate market changes. Relationships are at the heart of how we operate.


Diversity and Inclusion


We strive to create a workforce that reflects the communities in which we operate, fostering an inclusive culture and workplace where employees' unique needs are recognized and utilized. We engage our community and marketplace, positioning ourselves to meet the needs of all clients.

  • Compliance Officer

    1 week ago

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

    About the Role:Société Générale's Capital Market Surveillance (CMS) team, situated within the Compliance department, is responsible for monitoring security transactions and Firm communications to ensure compliance with relevant policies, industry rules, and regulations.The CMS team consists of two surveillance teams: one focused on monitoring security...

  • Compliance Officer

    2 months ago

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

    About the JobSociété Générale's Capital Market Surveillance (CMS) team is a global entity within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.CMS consists of two surveillance teams, one focused on monitoring security...

  • Compliance Officer Specialist

    2 weeks ago

    Montreal, Quebec, Canada Société Générale Assurances Full time

    Société Générale Assurances is a leading company in the financial industry, seeking an experienced Compliance Officer Specialist to join our team in Montreal, Quebec, Canada.As a Compliance Officer Specialist, you will be responsible for monitoring security transactions and ensuring compliance with applicable policies, industry rules, and regulations....

  • Compliance Monitoring Officer

    3 weeks ago

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

    About the Role:Société Générale's Capital Market Surveillance team is responsible for 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...

  • Senior Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada Staffing In Motion Full time

    Key ResponsibilitiesAs a Senior Compliance Officer, you will be responsible for the daily implementation of compliance policies and procedures, ensuring that all investment activities align with client investment policies and applicable legislation.You will review and update the Investment Management Department's policies, procedures, and communications and...

  • Regional Ethics and Compliance Officer

    4 weeks ago

    Montreal, Quebec, Canada WSP Full time

    Job DescriptionRegional Ethics and Compliance OfficerWSP Latin Americas and Caribbean (WSP LAC) region seeks a highly skilled Regional Ethics and Compliance Officer to join its team. The successful candidate will manage a regional ethics and compliance team, delivering specialized services including training, policy development, internal investigations,...

  • Compliance Officer Regulatory Compliance Specialist

    1 month ago

    Montreal, Quebec, Canada Zurich 56 Company Ltd Full time

    About the RoleZurich Canada is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance team, you will play a critical role in promoting an ethics-based culture and delivering practical solutions to support the business.Key ResponsibilitiesEvaluate business activities to assess compliance risk and identify areas for...

  • Senior Compliance Officer

    4 weeks ago

    Montreal, Quebec, Canada IA Financial Group Full time

    Job SummaryThe Senior Compliance Officer will oversee the firm's compliance with rules and regulations related to sales and marketing communications. This role will ensure that all communications align with regulatory requirements and are fair, balanced, and not misleading.This position requires a strong understanding of regulatory requirements and the...

  • Compliance Officer

    2 weeks ago

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

    About SGS Société Générale de Surveillance SAWe are seeking a Compliance Officer - Risk Monitoring to join our team in the Montreal office. In this role, you will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.Key Responsibilities:Monitor security...

  • Compliance Officer

    3 weeks ago

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

    About Société Générale's Compliance ProgramThe Compliance Department at Société Générale is responsible for ensuring that our firm adheres to all applicable laws, regulations, and industry standards. As a key member of our team, you will play a vital role in monitoring and analyzing security transactions to ensure compliance with Exchange rules.Key...

  • Regulatory Inventory Compliance Officer

    1 month ago

    Montreal, Quebec, Canada Société Générale Assurances Full time

    Job Title: Regulatory Inventory Compliance OfficerAt Société Générale Assurances, we are seeking a highly skilled Regulatory Inventory Compliance Officer to join our team. As a key member of our Compliance Department, you will play a critical role in ensuring the firm's compliance with laws, regulations, and guidelines.Responsibilities:Maintain and...

  • Compliance Officer

    1 month ago

    Montreal, Quebec, Canada National Bank Full time

    A career as a Compliance Officer at National Bank means acting as a key resource for compliance activities associated with our national network to ensure that Private Wealth Advisors and branches respect and comply with internal policies and procedures as well as industry regulatory requirements.Your roleAnalyze and authorize documentation, new accounts, and...

  • Trade Surveillance Compliance Officer

    1 week ago

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

    Job Summary:Societe Generale de Surveillance SA is seeking a skilled Trade Surveillance Compliance Officer to join our team in Montreal, Canada. The successful candidate will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.

  • Compliance Officer

    1 week ago

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

    About the Role:Société Générale's Capital Market Surveillance team is responsible for monitoring security transactions to ensure compliance with industry rules and regulations. We are seeking a Compliance Officer to support our US operations in Montreal. As a key member of our team, you will work closely with regional and global colleagues to mitigate...

  • Health and Environmental Compliance Officer

    1 week ago

    Montreal, Quebec, Canada ADM Full time

    {"Job TitleHealth and Environmental Compliance Officer \/ Occupational Health and Safety ProfessionalJob SummaryWe are seeking a skilled Health and Environmental Compliance Officer to join our team at ADM. As a Health and Environmental Compliance Officer, you will play a critical role in ensuring that our facilities and operations meet the highest standards...

  • Compliance Officer

    2 weeks ago

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

    About the Role:Societe Generale's Capital Market Surveillance (CMS) is a global team within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The CMS team consists of two surveillance teams, one focused on monitoring security...

  • Regulatory Compliance Officer

    1 month ago

    Montreal, Quebec, Canada beBee Professionals Full time

    Job Title: Export Control Compliance OfficerJob Summary: BeBee Professionals is looking for an Export Control Compliance Officer to join our team in Montreal.Key Responsibilities:Ensure the company's compliance with export control laws and regulationsDevelop and implement export control policies and proceduresConduct export control compliance reviews and...

  • Compliance Officer

    1 week ago

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

    Job DescriptionAbout the Job:SGS Société Générale de Surveillance SA is seeking a talented Compliance Officer - Trade Surveillance to join our team in Montreal. As a key member of our Compliance Department, you will be responsible for monitoring security transactions and ensuring compliance with applicable policies, industry rules, and regulations.Our...

  • Compliance Officer

    1 month ago

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

    About the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Compliance Officer to join its Montreal office. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...

  • Compliance Officer

    1 month ago

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

    About the Role:Société Générale's Capital Market Surveillance team is seeking a skilled Compliance Officer to join its Montreal office. As a key member of the team, you will be responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The ideal candidate will...