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Compliance Risk Manager

2 months ago

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

About SGS Societe Generale de Surveillance SA



SGS Société Générale de Surveillance SA is a global leader in the field of compliance and risk management. Our 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 at SGS Société Générale de Surveillance SA is seeking an experienced professional to join its monitoring of the U.S. operations in the Montreal office. This role will involve 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.

Our Compliance Department oversees compliance with laws, regulations, guidelines and policies that apply to our banking and financial activities. We are responsible for 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 goal is to ensure that our firm operates according to essential compliance standards, controls non-compliance and reputation risks, while supporting the business with existing activities and in the development of new products or services.

Job Responsibilities:

As a member of the Trade Surveillance team, your primary responsibilities will include:

* Reviewing trade surveillance alerts and escalating issues to relevant stakeholders for investigation and resolution.
* Participating in the development, testing and implementation of new surveillance scenarios and minimum standards.
* Assisting in the quality assurance and reasonability testing of surveillance controls.
* Contributing to the preparation of management metrics and reports.
* Participating in regional and global compliance initiatives and investigations.
* Analyzing new and/or amended industry rules and regulations.
* Supporting new business initiatives and their potential impact on the surveillance program.

Requirements:

To be successful in this role, you will need:

* A Bachelor's Degree or equivalent.
* 1-3 years of experience in either trade surveillance general compliance and/or financial services.
* Strong knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity.
* Excellent communication skills both written and verbal.
* Strong analytical, problem-solving, and organizational skills.
* Ability to balance multiple priorities in a fast-moving environment.
* Self-starter with the ability to work independently and in a team setting.
* Strong attention to detail.
* Experience with Microsoft Word, Excel, and PowerPoint.

Language: English

Estimated Salary: $60,000 - $80,000 per year