Trade Surveillance Compliance Expert
1 week ago
In this exciting opportunity, you will join our Capital Market Surveillance team at Société Générale de Surveillance SA as a Trade Surveillance Compliance Expert. The team is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
As a key member of our global team, 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.
Key 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 quality assurance and reasonability testing of surveillance controls.
- Assist with regional and global compliance initiatives and investigations.
- Review and analyze 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.
- Estimated annual salary: $80,000 - $110,000
- 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 (health, training, electronics etc.)
- 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.
Société Générale de Surveillance SA offers a hybrid work arrangement that allows employees to balance remote work with on-site collaboration while adhering to all SG standard protocols. This flexibility promotes interaction and collaboration among colleagues while meeting business needs.
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