Compliance Officer, Trade Surveillance

2 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 188102

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, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. 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.

**_
Accountabilities _**:

- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Conducts post-trade market related surveillance to adjudicate alerts within the sector(s) the CO is responsible for supporting and reviews securities trade transactions and identify any suspicious or high-risk activities. Alerts are generated by various surveillance systems and manual processes within the GBM&T Framework
- Supports the effective and efficient operation of GCTS responsibilities and provides back-up support within the team and on other projects as assigned.
- Assists in responding to regulatory requests for information and internal audit inquiries, responsibilities may include, but are not limited to, gathering documents and/or data extracts.
- Assist in the development and enhancement of procedures and processes of the surveillance program.
- Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Champions a high-performance environment and contributes to an inclusive work environment.
- Teamwork is essential for the adjudication and resolution of a variety of products and source system alerts. Strong “teamwork’ skills are essential.

**_
Education/Experience_**:

- Sound understanding of retail and institutional equity, fixed income and/or derivatives trading (options and futures at least), including 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 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
- 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 legislation
- 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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