Capital Markets Auditor

SGS Société Générale de Surveillance SA; Montreal; On-site; CAD 70,000 - 95,000; Full time

Job summary

A leading financial institution seeks an Associate in Internal Audit to evaluate the effectiveness of the Capital Markets and Investment Management areas and contribute to audit initiatives. The ideal candidate will possess a strong knowledge of financial services, risk management practices, and excellent communication skills. This position offers an opportunity to develop professionally in a collaborative and dynamic environment, addressing regulatory needs and engaging in diverse projects.

Qualifications

• 3-5 years of relevant experience required.
• Familiarity with regulations related to Markets and Investment Management.
• Fluent in English for collaboration.

Responsibilities

• Participate in risk assessments and continuous monitoring meetings.
• Prepare work papers and draft audit findings.
• Engage in special projects and industry trend analysis.

Skills

Knowledge of Capital Markets

Risk Management

Excellent communication skills

Problem-solving skills

Team-oriented

Education

Relevant certifications such as CIA, FRM, or CFA

Job description

Société Générale (“SG”) is a top-tier European bank, headquartered in France , with 120,000 employees serving approximately 26 million clients across more than 62 countries . For over 160 years , we have supported economic development by providing a broad range of financial solutions and advisory services to corporate, institutional, and individual clients.

Our core strengths include longstanding client relationships, cutting-edge expertise, innovation, ESG capabilities, and leading franchises, all aimed at creating sustainable value for stakeholders.

The Group operates in three main business areas , including ESG offerings for all clients :

• Global Banking and Investor Solutions : a leading provider of tailored solutions for large corporates and investors, with global leadership in equity derivatives, structured finance, and ESG;
• French Retail Banking, Private Banking & Insurance : includes SG retail bank, private banking, insurance, and online banking activities;
• Mobility, International Retail Banking & Financial Services : includes established universal banks in Czechia, Romania, several African countries, the new ALD | LeasePlan brand, and specialized financing activities.

In the Americas, SG comprises U.S. and Canadian subsidiaries, branches, and offices, as well as entities in Brazil, Chile, Mexico, and other Latin American countries, mainly related to SG's Wholesale Banking Division (“SG Americas”).

The SG Internal Group Audit Division (IGAD) is an independent internal audit function with over 1,200 professionals worldwide, including a dedicated team of about 60 professionals covering SG Americas, based in New York, São Paulo, and Montreal. SGIAA conducts independent, objective audits of operational entities, assessing compliance, risk exposure, management effectiveness, and control procedures.

Responsibilities :

This role offers a unique opportunity to contribute as a valuable member of the Audit team and to help expand the Internal Audit team’s presence in Montreal .

The Associate will join the Americas Capital Markets Internal Audit team and will contribute to assessing the adequacy and effectiveness of SG Americas Markets & Investment Management businesses, risk management functions (Market, Counterparty, Model, Liquidity Risk), compliance with regulations, and participate in global audit initiatives and projects.

The main responsibilities include :

• Participating in risk assessments and continuous monitoring meetings;
• Planning audits in coordination with the team;
• Analyzing processes, risks, and controls;
• Preparing work papers and drafting audit findings;
• Assisting in finalizing audit reports;
• Following up on audit and regulatory issues;
• Engaging in special projects and industry trend analysis.

Profile and Qualifications :

• 3-5 years of relevant experience;
• Knowledge of Capital Markets and Financial Services products;
• Understanding of Risk Management practices applicable to financial services;
• Familiarity with regulations related to Markets and Investment Management;
• Motivated, proactive, and able to work in a fast-paced environment;
• Excellent communication skills, both written and verbal;
• Curious and eager to learn and grow within Internal Audit and Capital Markets;
• Initiative, integrity, creativity, and problem-solving skills;
• Team-oriented with a collaborative mindset.

Preferred :

• Relevant certifications such as CIA, FRM, or CFA.

Language Requirements :

Fluent English communication skills are mandatory, as collaboration with US colleagues and partners is essential.

Note : Due to US Federal Securities laws, candidates must undergo enhanced background screening, including fingerprinting by a FINRA-approved vendor.

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