Risk Management Associate
1 week ago
Societe Generale de Surveillance SA's Capital Market Surveillance team is a global entity within the Compliance department. Our primary objective is to ensure that all security transactions and Firm communications adhere to applicable policies, industry rules, and regulations.
Job DescriptionWe are seeking an additional resource in our Montreal office to support the monitoring of U.S. operations. As a Risk Management Associate - Trade Surveillance, 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.
The Compliance Department at Societe Generale de Surveillance SA is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities. This includes 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.
Our Compliance Department enables the firm to operate according to essential compliance standards, ensures that Societe Generale de Surveillance SA's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
Compliance 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- 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 preparation of management metrics and reports.
- 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.
To succeed in this role, you must have:
- 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.
This position offers a competitive salary range of $80,000-$110,000 per year, depending on experience. We also provide a comprehensive benefits package including 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, fully sponsored virtual healthcare assistance and Employee Assistance Program, various Employee Resource Groups (ERG), and a culture of continuous development by encouraging employees to participate in various training programs.
Language and CultureThe language required for this role is English, both orally and in writing. You will need to collaborate regularly with colleagues and partners in the United States. Due to US Federal Securities law applying to this position, candidates who apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority ('FINRA').
Culture and Hybrid Work EnvironmentWe live by our 4 core values of commitment, responsibility, team spirit, and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. We offer 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.
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