Trade Surveillance Compliance Specialist

5 days ago

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

About Societe Generale's Capital Market Surveillance (CMS) Team

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.

The US CMS Trade Surveillance team is seeking an additional resource in the Montreal office to support its monitoring of the U.S. market. This role offers an exciting opportunity to join the team where you will be working in a key area of Societe Generale's Compliance program interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.

Societe Generale's Compliance Department oversees compliance with laws, regulations, guidelines, and policies that apply to the firm's banking and financial activities. The department enables the firm to operate according to essential compliance standards, ensures 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.

As a member of the US CMS Trade Surveillance team, your 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, and participating in regional and global compliance initiatives and investigations.

You will also assist with the review and analysis of new and/or amended industry rules and regulations, and participate in quality assurance and reasonability testing of surveillance controls.

In this role, you will have the opportunity to work on high-profile projects and collaborate with cross-functional teams to drive business outcomes and enhance our compliance program.

We are looking for a detail-oriented individual with excellent analytical and problem-solving skills, who can communicate effectively with colleagues and stakeholders at all levels.

This position requires a strong understanding of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity, as well as experience with Microsoft Word, Excel, and PowerPoint.

The ideal candidate will have 1-3 years of experience in either trade surveillance general compliance and/or financial services.

A Bachelor's Degree or its equivalent is required for this role.

We offer a competitive salary range of $60,000 - $80,000 per year, depending on experience.

We also provide a comprehensive benefits package, including minimum of 20 vacation days + 4 personal days, 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 and Employee Assistance Program, and various Employee Resource Groups to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.

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