Compliance Surveillance Specialist
4 days ago
We are seeking a Compliance Surveillance Specialist to join our team at SGS Société Générale de Surveillance SA. This role will involve participating in the monitoring of security transactions for compliance with Exchange rules and being involved in regional and global projects aimed at enhancing the Trade Surveillance program.
The ideal candidate will have a Bachelor's Degree or its equivalent and 1-3 years of experience in either trade surveillance, general compliance, and/or financial services. They should also be proficient in Microsoft Word, Excel, and PowerPoint.
Responsibilities:- 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.
- Assist with regional and global compliance initiatives and investigations.
- Assist with the review and analysis of new and/or amended industry rules and regulations.
- 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.
- A competitive salary of $80,000 per year.
- A 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.
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Compliance Surveillance Specialist
4 weeks ago
Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeAbout the OpportunityWe are seeking a skilled Compliance Surveillance Specialist to join our team in Montreal, where you will play a key role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The ideal candidate will have experience in trade surveillance, general...
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Trade Surveillance Compliance Specialist
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