Compliance Risk Management Specialist

7 days ago

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

About SGS Société Générale de Surveillance SA:

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 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 is 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.

The Compliance Department at Societe Generale is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in the areas of 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.

As a key member of the Compliance Department, you will enable the firm to operate according to essential compliance standards, ensuring that Societe Generale's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.

Job Description:

  • 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 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.

Required Skills and Qualifications:

  • 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.

Estimated Salary: $60,000 - $80,000 per year

Benefits:

  • 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 (health, training, electronics etc.)
  • Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family
  • Variety of Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.
  • A culture of continuous development by encouraging our employees to participate in various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).

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