Compliance Officer, Trade Surveillance
6 months ago
Requisition ID: 189302
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
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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 individual goals, plans, initiatives to be executed in accordance with the team’s business strategies and objectives. Ensures all activities are in compliance with governing regulations, internal policies and procedures. The Compliance Officer (“CO”) is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with global and local regulatory requirements as well as internal policies and procedures.
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Accountabilities_**
- Conduct near real-time and post-trade market related surveillance to adjudicate alerts generated for equities and listed derivatives products by various surveillance systems. Identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders.
- Assist in responding to regulatory and internal audit inquiries, which includes, but may not be limited to gathering documents and/or data extracts
- Assist in conducting effectiveness testing of supervision related processes and controls
- Assist in the development and enhancement of procedures and processes of the surveillance program
- Assist other team members and provide back-up support within the team and other projects as assigned
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Enthusiastically supports the effective and efficient operations of his/her respective GCTS responsibilities and team. Actively supports day-to-day business controls designed 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.
- Focusses on developing a high level of understanding of the products, markets, systems, regulations and personnel necessary to adjudicate alerts in the sectors the CO is responsible for supporting. Ongoing learning and training is critical to this effort.
- Strategically develops external relationships and leverages broader Bank relationships to facilitate the execution of GCTS requirements
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Education/Experience_**
- Sound understanding of one, or both, of exchange traded and OTC markets and the various products within these categories. This includes knowledge of hedging and other trading strategies
- Post-Secondary education and/or professional designations
- Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course
- Minimum of 3 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 and compliance requirements
- Identify external market activity, news and additional factors that may influence trading activities
- An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and UMIR, as well as a general understanding of Canadian provincial securities
and other relevant regulatory bodies.
- Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
- Excellent oral and written communication skills
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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