Associate, Trade Floor Supervision

6 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 200231

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

**Global Banking and Markets**

Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world.

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries We work together to drive ambition for every future

**Overview/Purpose**:
Trade Floor Supervision is mandated to reduce the regulatory, reputational, and operational risks associated to the sales and trading function on a global basis. This is accomplished by monitoring daily, weekly, and monthly trading of equity, fixed income and derivative products on behalf of the desk heads and following up directly with traders and sales personnel. TFS acts as liaison between desk heads and compliance and provides support for the compliance functions locally. The Associate, TFS will monitor communications on Monitored Employees to ensure compliance against governing regulations, internal policies, and procedures.

**What You’ll Do**:

- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
- The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated on monitored employees in GBM and Group Treasury.
- The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication, whether written (electronic) or oral (tapped lines).
- This position works closely with the Associate Director, Communications Surveillance, of Trade Floor Supervision; and may also need to interact, from time to time, with the senior management of Group Treasury and GBM globally.
- The incumbent must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verifying details of communications (i.e. has understanding of the content) and determining accuracy (investigate using public sources).
- Must be able to use judgment in managing highly sensitive information and/or situations.
- Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies.
- Understand 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, 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 contributes to an inclusive work environment.

**What You’ll Bring**:

- Thorough analytical skills required to work with the various programs and information to ensure completeness of a communication.
- University degree in Business, Economics or related
- Experience working in Capital Markets to understand the lingo used in sales and trading environments.
- Ability to write procedures and prepare concise reports.
- Knowledge of securities laws, regulations and trading rules.
- Must be discreet given the confidential nature of the communications reviewed.

**Working Conditions**:

- Ability to work in a busy environment that has little separation for space and can be loud at times.
- Ability to work under pressure when dealing with time sensitive requests.
- On call nature of position often involves overtime and work on weekends
- Hybrid 3 days in office

**Interested?**

At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That’s why we work to grow and diver

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