Associate, Trade Floor Supervision-ecomm

1 week ago

Toronto, Ontario, Canada Scotiabank Full time
Requisition ID: 165727

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Trade Floor Supervision is mandated to reduce the regulatory, reputational, and operational risks associated to the sales and trading function on a global basis.

This is accomplished by monitoring daily, weekly, and monthly trading of equity, fixed income and derivative products on behalf of the desk heads and following up directly with traders and sales personnel.

TFS acts as liaison between desk heads and compliance and provides support for the compliance functions locally. The Associate, TFS will monitor communications on Monitored Employees to ensure compliance against governing regulations, internal policies, and procedures.

Is this role right for you?

  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated on monitored employees in GBM and Group Treasury.
  • The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication, whether written (electronic) or oral (tapped lines).
  • This position works closely with the Associate Director, Communications Surveillance, of Trade Floor Supervision; and may also need to interact, from time to time, with the senior management of Group Treasury and GBM globally.
  • The incumbent must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verifying details of
- communications (i.e. has understanding of the content) and determining accuracy (investigate using public sources).

  • Must be able to use judgment in managing highly sensitive information and/or situations.
  • Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies.
  • Understand how the Bank's risk appetite and risk culture should be considered in daytoday activities and decisions.
  • Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of daytoday business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
  • Champions a highperformance environment and contributes to an inclusive work environment.

Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have:

  • Thorough analytical skills required to work with the various programs and to ensure effective communication.
  • Working knowledge of Securities law, regulations, and trading rules
  • Ability to conduct detailed investigations and write concise reports in a timely manner.
  • Completion of the CSC, CPH, TTC, PDO preferred
  • Proficiencies in French and Spanish would be an asset
  • University degree in Business, Economics or related
Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas

Guided by our purpose:
"for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

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