Market Risk and Compliance Professional

7 days ago

Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

Societe Generale de Surveillance SA's Capital Market Surveillance team is a global unit within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.

The team consists of two surveillance teams, one focused on the monitoring of security transactions and the other on the monitoring of audio and electronic Firm communications.

The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the U.S. operations.

This role will provide an exciting opportunity to join the team where you will be working in a key area of Societe Generale de Surveillance SA'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 de Surveillance SA is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities, particularly in the areas of 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 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.

As a Market Risk and Compliance Professional, you will 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.

You will:

  • 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.
  • 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 to the surveillance program.

To succeed in this role, you will need:

  • 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.

The estimated salary range for this position is between $80,000 and $120,000 per year, depending on experience and qualifications.

Societe Generale de Surveillance SA offers a competitive benefits package, including minimum 20 vacation days, health spending accounts, virtual healthcare assistance, employee assistance programs, and opportunities for professional development.

We are committed to diversity, equity, and inclusion, and welcome applications from candidates from diverse backgrounds.

We offer a hybrid work arrangement that allows employees to work remotely and on-site, promoting interaction and collaboration with colleagues while adhering to all Societe Generale de Surveillance SA standard protocols.

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