Compliance Officer

6 days ago

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

Societe Generale's Capital Market Surveillance team is seeking a highly skilled Compliance Officer to join our team in Montreal. As a Compliance Officer - Trade Surveillance Specialist, you will play a critical role in ensuring the firm's compliance with applicable regulations and policies related to trade surveillance.

Key Responsibilities
  • Conduct surveillance controls assessments to ensure their effectiveness, efficiency, and alignment with regulatory expectations
  • Assess regulatory risks associated with changes to regulations, new business initiatives, and requisite surveillance control modifications
  • Document and maintain surveillance control business requirement documents and testing all control enhancements
  • Support regional and global surveillance initiatives relating to program governance and control development, testing, and deployment
  • Assist with compliance risk assessments
  • Support CMS management with requests and investigations directed by Senior Compliance Management
Requirements

To be successful in this role, you will need:

  • 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

The following qualifications are highly desirable:

  • Degree specialized in Finance
  • Specialization in surveillance testing
  • Experience with vendor trade surveillance platforms (e.g., SMARTS, Trading Hub, etc.)
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.

Why Join Us

Societe Generale offers a dynamic and inclusive work environment that values diversity and promotes professional growth. Our team is committed to delivering exceptional results and making a positive impact on our clients and the community.

Our Culture

We live by our 4 core values of commitment, responsibility, team spirit, and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes.

Diversity & Inclusion

We are committed to creating an inclusive workplace that values diversity and promotes equal opportunities for all employees. Our Diversity & Inclusion Mission is to recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

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