Trade Surveillance Specialist
1 week ago
About the Role:
Société Générale's Capital Market Surveillance (CMS) team within the Compliance department is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
CMS comprises two surveillance teams: one focused on transaction monitoring and the other on audio and electronic Firm communications.
The US CMS Trade Surveillance team seeks an additional resource in the Montreal office to support its monitoring of the U.S. market.
This is an exciting opportunity to join the team where you will work in a key area of Société Générale'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 Société Générale oversees compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in 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 non-compliance and reputation risks are controlled, while supporting the business with existing activities and developing 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 a culture of compliance within the Group.
- Participate in monitoring security transactions for compliance with Exchange rules and contribute to regional and global projects enhancing the Trade Surveillance program.
- Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
- Contribute to developing, testing, and implementing new surveillance scenarios and minimum standards.
- Participate in regional and global compliance initiatives and investigations.
- Assist with reviewing and analyzing new and/or amended industry rules and regulations.
- Support new business initiatives and their potential impact on the surveillance program.
Key Responsibilities:
We are seeking a highly skilled Trade Surveillance Specialist to join our team in Montreal. This role involves working closely with the US CMS Trade Surveillance team to monitor security transactions and Firm communications, ensuring compliance with industry rules and regulations.
Requirements:
- Bachelor's Degree or equivalent.
- 1-3 years of experience in trade surveillance, general compliance, and/or financial services.
- Experience with Microsoft Word, Excel, and PowerPoint.
Language:
English is the primary language required for this role, as the successful candidate will need to collaborate regularly with colleagues and partners in the United States.
Compensation:
The estimated annual salary for this position is between $80,000 and $120,000 based on location and experience.
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.
- Fully sponsored virtual healthcare assistance and Employee Assistance Program for you and your immediate family.
- Variety of Employee Resource Groups (ERG) such as Pride and Allies, American Women Network, Black Leadership Network, One Planet, etc.
- A culture of continuous development through various training programs (online training and coaching platform like Coursera, GoFluent, Pluralsight, First Finance, and others).
Work Environment:
Société Générale offers a hybrid work arrangement allowing employees to balance remote work with on-site collaboration while adhering to SG standard protocols.
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