Compliance Officer (Trade Surveillance)

Compliance Officer (Trade Surveillance)

Compliance Permanent contract Montreal, Quebec, Canada Reference 24000MQA Start date Immediately Publication date 2024 / 10 / 04

Responsibilities

ABOUT THE JOB :

Société Générale’s Capital Market Surveillance ( CMS ) is a global team within the Compliance department responsible for the monitoring of security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.

CMS consists of two surveillance teams, one focused on the monitoring of security transactions and the other on the monitoring of 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 the operations.

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 spread a culture of compliance within the Group.

What will be your DAY-TO-DAY?

The candidate will 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 of 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 the quality assurance and reasonability testing of surveillance controls.
• Contribute to the preparation of management metrics and reports.
• 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.

Profile 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.
• General 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.

LANGUAGE : French, English

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.

Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority ("FINRA")

Why join us

OUR BENEFITS :

WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALE

Competitive compensation & benefits offering, including but not limited to :

• 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 (health, training, electronics etc.

Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.

• A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others.
8 days ago