Compliance Monitoring Analyst

 Montreal - Canada, Canada       Permanent contract        Legal / Taxation / Compliance

Responsibilities

The candidate will be responsible for performing monitoring functions and to assist the Head of Compliance Monitoring.

 

Development of annual monitoring plan:

  • Assist the Head of Compliance Monitoring with the development of the annual monitoring plan. The annual monitoring plan cover formalized controls over compliance risks throughout the organization;

 

Design, execution and delivery of control monitoring reviews which include planning, fieldwork, reporting and validation of issues:

  • Perform initial research on formalized controls to understand the objective, the underlying process and the risks being addressed;
  • Perform design and effectiveness testing of formalized controls across the Americas;
  • Prepare reporting on results of formalized control testing and communicate to stakeholders any issues identified and corrective actions.

Profile Required

Competencies:

  • 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

 

Technical Skills:

  • Advanced knowledge of Excel and proficiency in Word, PowerPoint and Visio
  • Excellent research and analytical skills
  • Excellent written and verbal communication skills
  • Securities licenses a plus

 

Prior work experience:

  • 6-8 years of experience in the financial services industry
  • 4-6 years of which are related to Compliance testing / Audit topics

 

Qualifications:

  • BA/BS required
  • 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.

Business Insight

The Société Générale Americas Compliance Department monitors the corporate banking, investment banking and broker–dealer activities and reports on the compliance risks and issues to Société Générale Americas and Group Compliance Senior Management. The Société Générale Americas Compliance Department also works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies. The Société Générale Americas Compliance Department is also responsible for monitoring the handling of sensitive confidential business information through the Compliance Control Room. It administers the Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. Additionally, the Advisory Team provides guidance and advice on relevant rules and regulations. Finally, the Financial Crime department is responsible for ensuring compliance with anti-money laundering and sanctions regulations.

 

The Société Générale Americas Compliance Department is expanding its operations in Montreal to support the following divisions: Financial Crime Compliance, Digital Transformation Office, Testing, Monitoring & Risk Assessment and Capital Markets Surveillance. These individuals will assist the team with day-to-day responsibilities on projects and deliverables for the Americas (U.S., Canada and Brazil) region.

 

The Compliance Monitoring and Testing team provides regular and independent testing and monitoring of key controls and processes related to the management of compliance risk associated with the business activities of Société Générale in the Americas.


All our positions are open to people with disabilities

Job code: 19000DJ0
Business unit: SG CIB
Starting date: Immediate
Date of publication: 16/08/2019
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Compliance Monitoring Analyst

Permanent contract   |   Montreal - Canada   |   Legal / Taxation / Compliance