Senior Trade Surveillance Specialist
3 days ago
About SGS Societe Generale de Surveillance SA
We are a leading global team within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.
Our US CMS Trade Surveillance team is seeking an additional resource in our Montreal office to support its monitoring of the U.S. market. This is an exciting opportunity to join our team where you will be 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.
The Compliance Department at SGS Societe Generale de Surveillance SA is responsible for overseeing compliance with laws, regulations, guidelines, and policies that apply to our 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.
As a Senior Trade Surveillance Specialist, your primary responsibilities include participating in the monitoring of security transactions for compliance with Exchange rules and being involved in regional and global projects aimed at enhancing the Trade Surveillance program. You will review trade surveillance alerts and escalate issues to relevant stakeholders for investigation and resolution.
You will also participate in the development, testing, and implementation of new surveillance scenarios and minimum standards, as well as participate in quality assurance and reasonability testing of surveillance controls. Additionally, you will assist with the review and analysis of new and/or amended industry rules and regulations, and assist with new business initiatives and their potential impact on the surveillance program.
Key Responsibilities:
- Participate in the monitoring of security transactions for compliance with Exchange rules
- Review trade surveillance alerts and escalate issues to relevant stakeholders
- Develop, test, and implement new surveillance scenarios and minimum standards
- Assist with the review and analysis of new and/or amended industry rules and regulations
- Assist with new business initiatives and their potential impact on the surveillance program
Requirements:
- Bachelor's Degree or equivalent required
- 1-3 years of experience in either trade surveillance general compliance and/or financial services
- Proficient in Microsoft Word, Excel, and PowerPoint
What We Offer:
- $80,000 - $110,000 per year, depending on experience
- A 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
- Diverse Employee Resource Groups (ERG) such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.
- A culture of continuous development by encouraging employees through various training programs
Work Environment:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.
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