Trade Surveillance Expert
1 week ago
At SGS Société Générale de Surveillance SA, we are seeking a Trade Surveillance Expert to join our team in the Montreal office. This exciting opportunity is part of our global Compliance program, responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
The US Trade Surveillance team within the Compliance department is looking for an additional resource to support its monitoring of the U.S. operations. As a Trade Surveillance Expert, you will be working in a key area of our Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.
We enable our firm to operate according to essential compliance standards, ensuring that our non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services. Our Compliance Department acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spread a culture of compliance within the Group.
Day-to-Day Activities- You will 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.
- Contribute to the quality assurance and reasonability testing of surveillance controls.
- Prepare management metrics and reports related to trade surveillance activities.
- Assist with regional and global compliance initiatives and investigations.
- Analyze new and/or amended industry rules and regulations affecting the surveillance program.
- Support new business initiatives and their potential impact on the surveillance program.
- A 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.
We offer a competitive compensation package, including:
- A salary range of $80,000 to $120,000 per year, based on experience.
- A minimum of 20 vacation days + 4 personal days per year.
- 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 for 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.
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