Compliance Operations Coordinator
1 week ago
SGS is a global leader in the field of capital market surveillance. Our company's mission is to provide innovative solutions for financial institutions, ensuring compliance with regulatory requirements and mitigating risks.
Job DescriptionJob Title: Compliance Monitoring Administrator
Estimated Salary: $65,000 - $90,000 per year
We are seeking an experienced Compliance Monitoring Administrator to join our team in Montreal. The successful candidate will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.
The ideal candidate will have 1-3 years of experience in trade surveillance, general compliance, or financial services. Strong analytical skills, attention to detail, and excellent communication skills are essential for this role.
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 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.
Requirements:
- Bachelor's Degree or its equivalent.
- 1-3 years of experience in trade surveillance, general compliance, or financial services.
- Experience with Microsoft Word, Excel, and PowerPoint.
SGS offers a dynamic and challenging work environment, with opportunities for professional growth and development. We prioritize employee well-being, providing a comprehensive benefits package, including health spending accounts, personal spending accounts, and flexible working arrangements.
Benefits- Minimum of 20 vacation days + 4 personal days.
- Supportive maternity, paternity, parental, and adoption leave policy.
- Fully sponsored virtual healthcare assistance and Employee Assistance Program to 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 various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others).
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