Compliance Officer - Jobs in Montréal, QC

Job Description

ResponsibilitiesSociete 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.ABOUT THE JOB:The SGCC Compliance department has a broad compliance mandate. This mandate encompasses AML, sanctions, surveillance, regulatory reporting, advisory, registrations, technical reviews, testing and monitoring, regulatory watch, project management, connectivity and more.The Compliance Officer will report to the Senior Compliance Manager and is expected to work with his colleagues within various departments and assist the Canada Business Coverage Compliance team in the performance of the department’s functions.What will be your DAY-TO-DAY

• • Monitor transaction activities of clients for AML purposes
  • Perform compliance reviews on client account documentation and other processes
  • Assemble/prepare monthly AML and Sanctions (Financial Crime) metrics reports by sourcing data from key business partners. Identify and implement opportunities to streamline metrics reporting. Assist other reporting needs
  • Assist in the due diligence review of new and existing clients for AML purposes
  • Contribute to the preparation of compliance routine reports
  • Perform and/or review key control testing where appropriate
  • Assist in process improvement and policy and procedure documentation
  • Assist in the preparation of answers to regulatory/audit requests, in the context of on-site examinations, investigations, enquiries, etc.
  • Act as a back-up in the regulatory registration process
  • Other compliance functions/tasks as needed

In addition:

• Provide assistance in relation to the on-going implementation of Compliance, Exchange and AML relevant rules
• Keep up-to-date with exchange rules and relevant regulations relating to the business of the Firm, and share information with colleagues to ensure that the Department maintains up-to-date knowledge in order to perform its functions
• Preparation of advice and information to staff on rules and regulations, taking guidance from the CCO
• Assisting in development and delivery of training to all staff on various compliance topics
• Assist to develop and maintain Compliance and AML Manual, departmental policies and procedures, which are consistent with SG Global and America policies
• Contribute to new product/new market initiatives in relation to Compliance with rules/regulations
• Assist in the implementation of monitoring tools that are required to be produced for regulators and exchanges
• Assist in the conduct of internal investigations on potential breach of rules/regulations and company policies
• Assist the Compliance Team on matters related to the other Société Générale entities in Canada

Profile requiredSkills and Qualifications:

• 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
• Ability to analyze issues and problems
• Ability to interact with staff of all departments and at all levels
• Proficiency in Excel
• Strong written and verbal communication skills
• Fluent in French and English, both written and verbal

Experience:

• 5 years Compliance experience.
• Familiarity with Canadian industry rules and regulations and their application to the business.

Due to US Federal Securities law applying to this position, candidates who will apply for this position will be required to submit to an enhanced background screening, including the collection of their fingerprints by a third-party vendor selected by the Financial Industry Regulatory Authority (“FINRA”).Why join usOUR Benefits:WHAT WE DO DIFFERENTLY AT SOCIÉTÉ GÉNÉRALECompetitive compensation & benefits offering, including but not limited to:

• Minimum of 20 Vacation days + 4 personal days
  • Supportive Maternity, paternity, parental and adoption leave policy
  • Health spending ($2,000/year) and personal spending ($1,000/year) accounts with 75+ eligible reimbursement categories (health, training, electronics etc.)
  • Fully sponsored virtual healthcare assistance and Employee Assistance Program to you and your immediate family
• Various Employee Resource Groups (ERG) to engage with such as Pride and Allies, American Women Network, Black Leadership Network, One planet, etc.
• A culture of continuous development by encouraging our employees various training programs (online training and coaching platform such as Coursera, GoFluent, Pluralsight, First Finance, and others)

Business insightOUR CULTURE:At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.D&I:Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.Our Diversity & Inclusion Vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees unique needs and utilizes their diverse talents
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)HYBRID WORK ENVIRONMENT:Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.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: 23000BPJ
• Entity: SG MONTREAL SOLUTION CENTER 2 INC.
• Starting date: 2023/05/15
• Publication date: 2023/04/11

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