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Compliance and Risk Management Specialist

2 months ago

Old Toronto, Ontario, Canada Scotiabank Full time
Job Summary

We are seeking a highly skilled Senior Account Management Professional to join our Scotia iTRADE Account Supervision team in Canada. As a key member of our team, you will play a critical role in ensuring the overall success of our business strategies and objectives.

Key Responsibilities
  1. Champion a High-Performance Environment

Contribute to an inclusive and high-performing culture, fostering a collaborative and dynamic work environment that promotes excellence and innovation.

Maintain Compliance and Regulatory Expertise

Develop and maintain thorough knowledge and understanding of compliance, regulatory, and credit rules and regulations as they apply to the industry and the firm.

Conduct Market-Related Reviews

Conduct near real-time and post-trade market-related reviews to address alerts, identify and investigate potential exchange/marketplace and regulatory rule violations.

Identify and Address Compliance Issues

Identify potential and actual compliance issues and concerns, conduct necessary follow-up inquiries and reviews, and ensure that appropriate corrective actions are implemented in a timely manner.

Prepare Regulatory Responses

Prepare materials in response to regulatory or internal audit inquiries, ensuring accurate and timely submission of required information.

Provide Support and Guidance

Provide back-up support within the team and other projects as assigned, ensuring seamless execution of tasks and responsibilities.

Develop and Implement Supervision Programs

Identify gaps in existing supervision programs and participate in developing, maintaining, and implementing changes to the firm's policies and procedures.

Assist with Designated Supervisor Tasks

Assist with designated supervisor tasks, such as registration, continuing education, staff attestation as assigned.

Provide Approvals and Recommendations

Provide specified approvals or assess requests for approval and make recommendations to Senior Manager.

Ensure Confidentiality and Data Protection

Demonstrate and apply full understanding of the implications of dealing with regulatory issues, while ensuring that the confidentiality of customer information is maintained at all times.

Understand Risk Management Frameworks

Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.

Actively Pursue Operational Efficiency

Actively pursue 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.

Requirements
  1. Education and Experience

Successful completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Derivatives Fundamentals and Options Licensing Course (DFOL).

Branch Manager's Course and Options Supervisor Course

Successful completion of the Branch Manager's Course and Options Supervisor Course subsequent to job posting, if not already obtained.

Industry Knowledge and Skills

Thorough knowledge of industry, compliance, and trading policies, as well as prior investment industry and brokerage industry experience.

Technical Skills

Thorough knowledge of PC systems, including Broadridge, SCORE, AS400, Thompson ONE, Microsoft Excel, and other supporting applications.

Analytical and Organizational Skills

Strong analytical skills, as well as a high degree of judgment and organizational skills and initiative to deal with diverse and complex inquiries, problems relating to Scotia iTrade products and services.

Results-Oriented and Adaptable

Results-oriented with the ability to work in a fast-paced environment where volumes are dictated by market trends, customer demands, seasonal peaks, and advertising campaigns.

Ability to Work Independently

Ability to work independently within the boundaries of existing policies and guidelines, with complex situations and issues not encompassed within the guidelines referred to management.

Proactive and Judgmental

Proactive in monitoring and have the initiative to change tasks as necessary and to advise management of necessary changes and modifications as the job continues to evolve.

Prioritization and Time Management

Exercise judgment in the prioritization of his/her workload to ensure optimum response times are met and adherence to established service standards is maintained.