Junior Compliance Business Manager

Permanent contract|Montreal|Compliance

Junior Compliance Business Manager

Montreal, Canada Permanent contract Compliance

Responsibilities

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. The Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations.  The US Financial Crime team 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.

Within Compliance, the Chief Operating Officer team (COO) for the Americas region acts as a trusted partner to the Director of Compliance and the Compliance Executive Committee and works with the different managers on a variety of strategic, budgetary, staffing, expenses, communication, project and process matters. Essentially the COO Team is here to enable our department to perform its functions.

The COO team is a small team which requires the sharing of responsibility to ensure proper coverage and backup as well as close coordination on the different matters.

Day-to-Day Responsibilities – Chief Operating Officer for Compliance

Responsibilities including but not limited to:

  • Develop the department yearly budget with close partnership with the Head of Compliance, the Paris Head-Office and the Finance department.
  • Review and approve department expenses and monitor against annual budget. Perform regular cost review and identify cost savings initiatives
  • Manage and monitor department staffing and landing plans for full-time, interns, VIE and contractors
  • Monitors Consulting expenses
  • Develop departmental communications by working with managers and other members of the Compliance team, as well as the Corporate Communications department
  • Ensure Compliance staff have the necessary technology means to perform their function
  • Facilitate with Human Resources the hiring of employees, interns, contractors for the Compliance managers
  • Responsible for short and long-term space management in our different offices, and capacity and business continuity plans for the department.
  • Manage Firm-wide change projects and ongoing enhancement for the department
  • Manage Service Level contracts for services performed by Compliance teams across different legal entities
  • Facilitate the Third-Party Vendor risk process for any vendors engaged by a Compliance team.
  • Manage, perform and enhance as necessary the Legal Entity Annual Survey process in order to properly disclose our global Broker-Dealer, Municipal Advisor and Reg-W affiliates to regulators.
  • Perform as-hoc analysis based on departmental or firm-wide data to drive initiatives or provide support for management decision-making.

Profile required

Competencies:            

  • Strong interpersonal and written/verbal communication skills.
  • Strong analytical, problem-solving and organizational skills.
  • Great attention to detail.
  • Capable of handling multiple, simultaneous, and various ad-hoc requests.
  • Demonstrated history of taking initiative.
  • Ability to prioritize and work in a dynamic, deadline-focused environment.
  • Analytical capability: Able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole.  Can absorb ideas quickly and apply then pragmatically
  • Comprehensive knowledge / experience with risk management
  • Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
  • Strong interpersonal effectiveness: is self aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in others’ opinions and shows consideration, concern and respect for other people’s feelings
  • Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience

Technical Skills & Knowledge:

  • Advanced experience with Microsoft Word, Excel, and PowerPoint
  • Excellent writing skills

Qualifications (Experience, Education, Languages):

  • 3 to 5 years in a transversal project coordination role or similar departmental COO position
  • Bachelors Degree

Business insight

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit, innovation. These four values are centered around our clients. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. And we work to increase our impact on clients.

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, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 21000N7A
Entity: Societe Generale Capital Canada
Starting date: immediate
Publication date: 2021/10/05
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