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Compliance Officer, Global Compliance Trade
4 weeks ago
Requisition ID: 210469
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 directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business divisions of Scotiabank. 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 (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.
- 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.
- 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 procedures and processes of the surveillance program
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Assist in responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts
- Assist other team members and provide back-up support within the team and other projects as assigned.
- 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, 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 high-performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.
**Education/Experience**
- Post-Secondary education and/or professional designations
- Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferred
- Minimum of 3-5 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
- 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, Dodd-Frank Act, Volcker Rule and MiFID II or MAR
- Proficiency in excel macros, custom coding and desktop tool building capabilities preferred but not required
- 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
- 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.
