Senior Compliance Officer, Trade Surveillance
1 month ago
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business division of Scotiabank. The SCO is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with regulatory requirements (in particular those established by securities regulations and Self-Regulatory Organizations as well as internal policies and procedures).
Accountabilities
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Conduct post-trade market related surveillance to address alerts. Analyze and address alerts using SMARTS and other surveillance applications. Identify and investigate any potential exchange/marketplace and regulatory rule violations by clients and/or traders.
- Generate reporting for trade surveillance activities relating to specific GBM&T business lines, business divisions of Scotia Capital Inc (“SCI”) and/or defined products, as defined in the Procedures.
- Act as a resource for the team by supporting the Trade Surveillance department Senior Manager(s) and assisting Compliance Officers and other Senior Compliance Officers in the execution of their duties.
- Act independently, conduct research and perform analyses in support of regulatory or marketplace inquiries, investigations and/or examinations; including internal matters escalated to Trade Surveillance. Recommend solutions and actions to resolve outstanding issues. Escalate matters requiring further investigation or specialist assistance.
- Develop and deliver annual, periodic and ad hoc compliance training for team members based upon particular expertise. This may, on occasion, extend to external stakeholders.
- Supports effectiveness testing of business supervision related processes and controls, including identification of gaps in the existing trade surveillance processes.
- Assist in the development and enhancement of policies, procedures and processes of the surveillance program. Assist other team members in continually evaluating compliance procedures and in drafting and updating procedures.
- Provide back-up support within the team and work on other projects as assigned.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
- Accustomed to working in a collaborative team environment and contributes to the overall effectiveness of the Trade Surveillance Program.
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk.
- Actively participate in skills and product knowledge development through a variety of learning and training functions. This is an ongoing requirement to this developing area of Surveillance.
Education/Experience
- Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading, including knowledge of hedging and other trading strategies.
- Post-Secondary education and/or professional designations.
- Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course, DFOL, DFC or equivalent preferred.
- Minimum of 5-7 years of related experience at a financial institution and/or regulated securities dealer.
- Able to work independently and with other staff across functional lines within the Bank.
- In-depth knowledge of regulatory (UMIR/MX) and compliance requirements.
- Identify external market activity, news and additional factors that may influence trading activities.
- A comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets.
- Proficiency in advanced excel macros, custom coding and desktop tool building capabilities.
- Excellent verbal and written communication skills.
- Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
- Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
- Bilingual preferred (English/Spanish).
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.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation during the recruitment and selection process, please let our Recruitment team know.
Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.
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