Trade Surveillance Analyst

Permanent contract|Chicago|Compliance

Trade Surveillance Analyst

Chicago, United States Permanent contract Compliance

Responsibilities

The candidate will participate in the monitoring of security transactions and be involved in regional and global projects.

Trade surveillance alerts review:
•    Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
•    Develop, test and implement new surveillance scenarios and minimum standards;
•    Perform quality assurance and reasonability testing of surveillance controls;
•    Design and prepare management metrics and reports;
 
Projects participation:
•    Participate in regional and global compliance initiatives and investigations;
•    Review and analyze new and/or amended industry rules and regulations;
•    Assess new business initiatives and their potential impact to the surveillance program.

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 and PowerPoint
•    Excellent research and analytical skills
•    Excellent written and verbal communication skills
 
Qualifications:
•    2-5 years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services
•    English language is required

Business insight

Société Générale Corporate & Investment Banking (SGCIB) is the third largest investment bank in the European Economic Area and is present in more than 75 countries around the world.

The head office of its Canadian securities broker is located in Montreal and has approximately 100 employees. Société Générale Group's SGCIB division has positioned itself as a front-line player in the trading securities and derivatives on the Canadian market.  A Société Générale entity specializing in information technology is also based in Montreal.

Société Générale Group was established in Canada since 1974 and has today more than 400 employees and consultants based in its Montreal, Toronto and Calgary offices.

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: 21000V39
Entity: SG Americas Securities
Starting date: 2021/12/13
Publication date: 2021/10/13
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