Job Description

Responsibilities The candidate will participate in the monitoring of security transactions for compliance with Exchange rules and be involved in regional and global projects aimed at enhancing the Trade Surveillance program. RESPONSIBILITIES: 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; Contribute to the preparation 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 DIVISION DESCRIPTION: The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals. SKILLS AND QUALIFICATIONS: Must Have: 1-3 years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services. 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. Proficiency in Excel, Word and PowerPoint. Excellent research and analytical skills. Excellent written and verbal communication skills. #J-18808-Ljbffr SGS Société Générale de Surveillance SA

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