Risk Surveillance Specialist
2 weeks ago
Societe Generale'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. The US CMS Trade Surveillance team seeks a skilled professional in the Montreal office to support its monitoring of U.S. markets.
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.
Our Compliance Department enables the firm to operate according to essential compliance standards, ensuring 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.
This role participates in the monitoring of security transactions for compliance with Exchange rules and contributes to regional and global projects aimed at enhancing the Trade Surveillance program. You will review trade surveillance alerts, escalating issues to relevant stakeholders for investigation and resolution.
Responsibilities- Monitor security transactions for compliance with Exchange rules
- Review trade surveillance alerts and escalate issues to relevant stakeholders
- Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards
- Assist with new business initiatives and their potential impact on the surveillance program
- Bachelor's Degree or equivalent
- 1-3 years of experience in trade surveillance, general compliance, and/or financial services
- Proficiency in Microsoft Word, Excel, and PowerPoint
Candidates must be able to communicate in English, both orally and in writing, as this position requires collaboration with colleagues and partners in the United States. French language proficiency is not required but is an asset.
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