Regulatory Compliance Analyst

1 week ago


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

About Our Team:

SGS Société Générale de Surveillance SA's Capital Market Surveillance team is a global team 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 monitoring security transactions and the other on monitoring audio and electronic Firm communications.

We are seeking a Compliance Officer to support our monitoring of the U.S. operations in our Montreal office. This is an exciting opportunity to join the team where you will be working 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.

Key Responsibilities:

  1. Review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
  2. Participate in the development, testing, and implementation of new surveillance scenarios and minimum standards.
  3. Participate in quality assurance and reasonability testing of surveillance controls.
  4. Contribute to the preparation of management metrics and reports.
  5. Participate in regional and global compliance initiatives and investigations.
  6. Assist with the review and analysis of new and/or amended industry rules and regulations.
  7. Assist with new business initiatives and their potential impact to the surveillance program.


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