The candidate will participate in the monitoring of security transactions and be involved in regional and global projects.
Trade surveillance alerts review:
· Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
· Develop, test and implement new surveillance scenarios and minimum standards;
· Perform quality assurance and reasonability testing of surveillance controls;
· Design and prepare management metrics and reports;
· Participate in regional and global compliance initiatives and investigations;
· Review and analyze new and/or amended industry rules and regulations;
· Assess new business initiatives and their potential impact to the surveillance program.
· General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
· Strong attention to detail
· Ability to work independently
· Ability to prioritize and work in a dynamic, deadline-focused environment
· Exemplary personal ethics and desire to always adhere to rules and regulations
· Ability to work well in a highly diverse team
· Ability to communicate well across all levels of an organization
· Demonstrated history of taking initiative
· Advanced knowledge of Excel and proficiency in Word and PowerPoint
· Excellent research and analytical skills
· Excellent written and verbal communication skills
· 2-5 years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services
· English language is required
Why Join Us
Societe Generale is a global financial institution and one of the largest foreign corporate and investment banks. As such, it has a diverse population which fosters opportunity to collaborate with colleagues in different countries as well as access to international mobility. The firm recently unveiled its new brand platform “The Future is You” which not only demonstrates its commitment and responsibility to its clients, but also to its employees as their ideas and actions can make an impact on the direction of the organization. The Societe Generale U.S. Compliance Department is looking to hire individuals in Montreal as an extension of its U.S. team in the following divisions: Financial Crime Compliance, Digital Transformation Office, Testing, Monitoring & Risk Assessment and Capital Markets Surveillance. These individuals will be provided training by U.S. staff and will assist the team with day-to-day responsibilities on projects and deliverables for the Americas (U.S., Canada and Brazil) region.
The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management. Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations. The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations. Additionally, AML oversees key processes and risks of the KYC department.
All our positions are open to people with disabilities
Job code: 19000PSN
Business unit: SG Americas Securities
Starting date: 25/11/2019
Date of publication: 02/11/2019