Regulatory Compliance Surveillance Specialist
3 days ago
About SGS Société Générale de Surveillance SA
Société Générale's Capital Market Surveillance (CMS) 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.
CMS consists of two surveillance teams, one focused on monitoring security transactions and the other on monitoring 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 U.S. security transactions. 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.
The Compliance Department at Société Générale 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 Société Générale's non-compliance and reputation risks are controlled, while supporting the business with existing activities and in the development of new products or services.
Compliance acts as a second line of defense, developing and implementing policies, procedures, and controls, monitoring activities, advising the business, assessing risks, and providing training to ensure understanding and application of requirements, contributing to spreading a culture of compliance within the Group.
- 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.
- 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.
- 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.
Required Skills and Qualifications
Must Have:
- 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.
Average Salary: $80,000 - $110,000 per year
This role offers a competitive salary and benefits package, including 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, fully sponsored virtual healthcare assistance, Employee Assistance Program, and various Employee Resource Groups.
Benefits
- Supportive Maternity, Paternity, Parental, and Adoption Leave Policy.
- Health Spending ($2,000/year) and Personal Spending ($1,000/year) Accounts.
- Fully Sponsored Virtual Healthcare Assistance and Employee Assistance Program.
- Varying Employee Resource Groups (ERG) to Engage With.
- A Culture of Continuous Development Through Various Training Programs.
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