Trade Surveillance Compliance Specialist

5 days ago

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

About SGS Societe Generale de Surveillance SA

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  • 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 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.

The Compliance Department enables 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.

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

  • 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 of 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.
  • 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 to the surveillance program.
What We Offer

SGS offers a competitive salary of $90,000 - $110,000 per annum, plus benefits such as health spending and personal spending accounts, fully sponsored virtual healthcare assistance and Employee Assistance Program, various Employee Resource Groups, and a culture of continuous development by encouraging employees to participate in various training programs.

Our hybrid work arrangement allows employees to work remotely, as well as on-site, promoting interaction and collaboration with colleagues while adhering to all SG standard protocols.

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