Compliance Officer

2 weeks ago

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

Société Générale de Surveillance SA's Compliance Department is seeking a highly skilled Compliance Officer to join its Trade Surveillance team. As a key member of the team, you will be responsible for ensuring the firm's compliance with regulatory requirements and industry standards.

Key Responsibilities
  1. Conduct surveillance controls assessments to ensure their effectiveness, efficiency, and alignment with regulatory expectations.
  2. Assess regulatory risks associated with changes to regulations, new business initiatives, and requisite surveillance control modifications.
  3. Document and maintain surveillance control business requirement documents and testing all control enhancements.
  4. Support regional and global surveillance initiatives relating to program governance and control development, testing, and deployment.
  5. Assist with compliance risk assessments.
  6. Support CMS management with requests and investigations directed by Senior Compliance Management.
Requirements
  • Bachelor's Degree or its equivalent.
  • 3-10 years of experience in a trade surveillance role.
  • Strong knowledge of applicable regulations relating to Banking, Broker-Dealer, and Futures Commission Merchant activity.
  • Strong interpersonal and written/verbal communication skills.
  • Strong analytical, problem-solving, and organizational skills.
  • Ability to balance multiple, simultaneous priorities in a fast-moving and demanding environment.
  • Self-starter with the aptitude to work independently and in a team setting.
  • Strong attention to detail.
  • Experience with Microsoft Word, Excel, and PowerPoint.
Preferred Qualifications
  • Degree specialized in Finance a plus.
  • Specialization in surveillance testing a plus.
  • Experience with vendor trade surveillance platforms (e.g., SMARTS, Trading Hub, etc) a plus.
Language

Ability to communicate in English, both orally and in writing, is a requirement as the person in this position will need to collaborate regularly with colleagues and partners in the United States.

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