Communications Surveillance Compliance Officer

Job code: 1900019X
Date of publication: 23-03-2019
Starting date
Immediate
Job function
Legal / Taxation / Compliance
Business unit
SG Americas Securities
Location
Montreal - Canada
Job type
Permanent contract

Environment

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

Mission

  • Review of electronic and audio communication alerts across various business units 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
  • 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 CMS surveillance program
  • Design and prepare management metrics and reports
  • Draft and execute team procedures
  • Collaborate with regional and global colleagues across multiple departments including but not limited to Front Office, Operations, Technology and Legal

Profile

Competencies, Technical Skills and Qualifications: 

Competencies:
  • Strong interpersonal and written/verbal communication skills
  • Strong analytical, problem-solving and organizational skills
  • Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment
  • Self-starter with the aptitude to work independently and/or in a team setting
  • Strong attention to detail
  • General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
Technical Skills:
  • Experience with Microsoft Word, Excel, and PowerPoint
Qualifications (Education, Experience, Languages):
  • Bachelor’s Degree
  • 2-5 years of experience in either communication surveillance, general compliance and/or financial services
  • English language is required

Evolution

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.


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