Current jobs related to Senior Compliance Officer, GBM&T Compliance Canada Program - Toronto - Scotiabank
-
Compliance Officer, Gbm&t Compliance Testing
5 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 210159 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the GBM&T Compliance Department in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives....
-
Compliance Officer
5 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 174551 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose of Job**: Contributes to the overall success of the Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada program. The Compliance Officer will work closely with the Senior Manager, Employee Trading and others...
-
Director, Gbm Compliance Audit
7 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 238030 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** As the 3rd Line of Defence, Internal Audit provides enterprise-wide, independent, and objective assurance over the design and operations of the Bank’s internal controls, risk management and governance processes. We are...
-
Compliance Officer, Employee Trading
7 hours ago
Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.The Compliance Officer contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada program. The Compliance Officer will work closely with the Senior Manager, Employee Trading, and others on the...
-
Manager, Gbm&t Compliance Testing
3 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 223945 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the GBM&T Compliance Department in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives....
-
Compliance Officer, Trade Surveillance
4 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 208545 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...
-
Compliance Officer, Governance
7 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 210731 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** The objective of the Compliance Officer (CO) is to contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance...
-
Compliance Officer, Trade Surveillance
2 weeks ago
Toronto, Canada Scotiabank Full timeRequisition ID: 189302 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada. Activities are focused on specific...
-
Manager, Gbm Monitoring and Testing
5 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 215548 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. The role of Manager, GBM AML Monitoring and Testing contributes to the overall success of the Global Banking and Markets (GBM) AML Monitoring and Testing Department (M&T), Global AML, by ensuring that specific individual goals,...
-
Manager, Compliance Remediation Testing
2 weeks ago
Toronto, Canada Scotiabank Full timeRequisition ID: 156254 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the GBM&T Global Compliance Department ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives....
Senior Compliance Officer, GBM&T Compliance Canada Program
4 hours ago
OverviewTitle: Senior Compliance Officer, GBM&T Compliance Canada ProgramRequisition ID: 248399Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeContributes to the overall success of the Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada Program. The Senior Compliance Officer will work closely with the Senior Manager, GBM&T Compliance Canada Program, the GBM&T Compliance Canada team and a diverse set of stakeholders to provide ongoing support of the Global Banking and Markets (“GBM”), Group Treasury (“GT”) and Global Transaction Banking (“GTB) Canada Compliance programs in line with Global Compliance’s strategy and initiatives.AccountabilitiesSupport the execution of various components of the eight pillars of the GBM&T Compliance Canada program, including:Support the development and maintenance of internal documents including procedures in support of the GBM&T Compliance Canada ProgramConduct routine monitoring for the GBM & GT businessesIdentify and implement workflow improvements to streamline routine compliance monitoring processesIntroduce automation opportunities to reduce manual effort and enhance efficiencySupport and maintain the inventory of monitoring activities for the GBM, GT and GTB businesses, including but limited to annual reasonability review and new risk mapping from Compliance Risk and Control Assessment (“CRCA”)Focus on developing a high level of understanding of the products, markets, systems, regulations and personnel necessary in order to exercise judgement to identify, diagnose, and problem-solve within the rules.Maintain a high level of awareness of compliance related industry developmentsAssist with third party and regulatory reviews/inquiries when necessaryParticipate in ad-hoc external or internal compliance exams from regulators, internal audit or GBM&T Compliance Canada testing team.Assist other team members and with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada ProgramFoster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, regulators and GBM business leaders to support the achievement of initiative deliverables and overall objectivesUnderstand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisionsActively pursue effective and efficient operations, 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, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Code of ConductChampion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledgeChampion a high-performance environment and contribute to an inclusive work environmentEducation/ExperiencePost-Secondary education and/or professional designationsSecurities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferredMinimum of 3-5 years of related experience at a financial institution and/or regulated securities dealerExcellent teamwork, interpersonal and conflict resolution skillsIn-depth knowledge of regulatory and compliance requirementsIdentify external market activity, news and additional factors that may influence trading activitiesEquities, fixed income, listed derivative and OTC derivative product knowledgeA comprehensive understanding of the CIRO Universal Market Integrity Rules, CIRO Investment Dealer and Partially Consolidated Rules and Montreal Exchange Rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital marketsProficiency in excel macros, custom coding and desktop tool building capabilities preferred but not requiredStrong analytical and investigative skills and demonstrated ability to operate at a strategic levelSound judgment in identifying risks in order to proactively escalate with relevant senior managementExcellent oral and written communication skillsLocationCanada : Ontario : Toronto #J-18808-Ljbffr
