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Compliance Trade Surveillance Professional
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Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full timeSociete Generale's Capital Market Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of security transactions and mitigate regulatory risks.The Compliance Department at Societe Generale oversees compliance with laws, regulations, and policies that apply to the firm's banking and financial activities....
Regulatory Compliance Surveillance Expert
2 months ago
Societe Generale de Surveillance SA's Capital Market Surveillance team is a key component of the Compliance department, responsible for monitoring security transactions and Firm communications to ensure adherence to relevant 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 opportunity allows you to work in a critical 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 oversees compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in areas such as 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.
The Compliance Department enables the firm to operate according to essential compliance standards, ensures 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.
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 spreading a culture of compliance within the Group.
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.
- Contribute to the development, testing, and implementation of new surveillance scenarios and minimum standards.
- Assist with quality assurance and reasonability testing of surveillance controls.
- Support regional and global compliance initiatives and investigations.
- Collaborate on reviewing and analyzing new and/or amended industry rules and regulations.
- Assist with new business initiatives and their potential impact on the surveillance program.
Salary Range: $70,000 - $90,000 per year, depending on experience
Requirements:
- 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.
We offer a hybrid work environment that provides flexibility to work remotely and on-site, promoting interaction and collaboration with colleagues while adhering to all SG standard protocols. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.
