Compliance Monitoring Specialist
4 weeks ago
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 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.
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.
- 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 on the surveillance program.
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.
Language: English
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.
The successful candidate will have excellent analytical and problem-solving skills, with the ability to work effectively in a team environment. If you are a motivated and detail-oriented individual who is passionate about compliance and risk management, we encourage you to apply for this exciting opportunity.
Benefits:
- 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 for you and your immediate family.
- Various 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 through various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
Work Environment:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.
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