- Pro-active and autonomous
- Ability to interact with staff of all departments and at all levels
- Able to deal with the day to day administrative requirements in the team, as well as ad hoc issues
- Ability to work under own initiative and experience when targets and tasks are set
- Strong ability to analyse issues and problems
- Good written and verbal communication skills
- Fluent in English, both written and verbal. French language is not required but is an asset.
- 5+ years Compliance experience.
- 7+ years Financial Industry experience.
- Knowledge of Canadian laws and regulations on Anti-Money Laundering and Terrorist Financing, Sanctions and Embargoes
- Knowledge of listed and OTC derivatives and securities products is a plus.
- Familiarity with Canadian industry rules and regulations and their application to the business.
- Experience in implementing monitoring programs and performing the various monitoring tasks, including desk reviews.
Bachelor’s degree of Finance, Accounting, Economy or Law is preferred.
No specific registration or certification required. However, various CSI courses (or equivalent) on securities and derivatives are recommended. They are:
- Canadian Securities Course
- Conduct and Practices Handbook Course
- Trader Training Course
- Derivatives Fundamentals Courses
Depending on the experience of the candidate, some of these CSI courses may be required to be completed during the first twelve months of the employment
ACAMS certification would be a plus.
Société Générale 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 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
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.