Communication Surveillance Compliance Offcier

Permanent contract|Montreal|Compliance

Communication Surveillance Compliance Offcier

Montreal, Canada Permanent contract Compliance

Responsibilities

Review of electronic and audio communication alerts across various business units and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
Participate with the testing and implementation of new surveillance scenarios and minimum standards;
Participate in regional and global compliance initiatives and investigations;
Assist with the review and analysis of new and/or amended industry rules and regulations;
Prepare management metrics and reports;
Collaborate with regional and global colleagues across multiple departments including but not limited to Front Office, Operations, Technology and Legal.

Profile required

Competencies:

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/or in a team setting.
Strong attention to detail.
General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity.

Technical Skills:

Experience with Microsoft Word, Excel, and PowerPoint

Qualifications (Education, Experience, Languages):

Bachelor’s Degree
2-5 years of experience in either communication surveillance, general compliance and/or financial services.
Fluent (read, write and speak) English and French.

Required Registrations:

None required, securities licenses a plus.

Risk Management

Employees in this position should understand the institution’s approach to risk management and their respective roles in supporting a strong risk culture, as outlined in the SGUS Operations Enterprise Risk Management Framework.

Business insight

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 Communication Surveillance team is seeking an additional resource in the Firm’s Montreal office to support its monitoring of the U.S. 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.