Along with Legal and working in liaison with the various Business Units, Resources (credit/operations) functions and other departments of the SG Group, the Compliance Department provides assistance on regulatory and compliance matters, such as:
· Drawing up policies, principles and procedures aimed at meeting the demands of regulatory authorities in Canada in the area of Compliance so that customer interests and the Group's reputation can be protected.
· Ensuring the observance of the laws and regulations applicable in terms of conduct of business rules by SG Canadian entities that provide corporate financing and investment services.
· Proposing rules and procedures designed to ensure the fulfillment of obligations with regard to combating the laundering of capital originating from drug trafficking and organized crime, and the financing of terrorist organizations, in accordance with prevailing laws.
· Ensuring the observance of personal ethics rules applicable to all employees located in Canada.
Particularly, the market activities surveillance team focuses on the following:
· Ensure applicable regulatory requirements are respected (e.g. IIROC Rules, Montreal Exchange Rules, National Instruments, Securities Laws, etc.)
· Surveillance of transactions on financial instruments executed on the marketplace
· Contribute, review and implement market-related policies and procedures Perform and oversee regulatory reporting
- Perfom data reconciliation in relation to market activities.
- Maintain filing system for current files and archiving of documents, projects and communications of the market activities surveillance team.
- Track and maintain records of emails, communications and follow-ups on compliance files .
- Provide administrative support to the team when required.
- Work in close cooperation with other members of the Compliance Department.
- Perform other related tasks.
We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.