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Compliance Expert, Trade Monitoring Professional
2 months ago
About the Role
The Senior Compliance Officer, Trade Surveillance will play a critical role in ensuring the integrity of Scotiabank's trading activities. This position will be responsible for conducting surveillance and monitoring of capital markets trading activities, identifying and investigating potential regulatory violations, and providing guidance to the team on regulatory requirements.
Key Responsibilities
- Conduct post-trade market surveillance to identify and investigate potential exchange and regulatory rule violations.
- Generate reporting for trade surveillance activities and provide insights to stakeholders.
- Act as a resource for the team, providing guidance on regulatory requirements and best practices.
- Develop and deliver compliance training for team members and external stakeholders.
- Support the development and enhancement of policies, procedures, and processes related to trade surveillance.
- Collaborate with other teams to identify and mitigate risks associated with trading activities.
- Stay up-to-date with regulatory requirements and industry developments, providing recommendations for process improvements.
Requirements
- Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading.
- Post-Secondary education and/or professional designations.
- Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course, DFOL, DFC or equivalent preferred.
- Minimum of 5-7 years of related experience at a financial institution and/or regulated securities dealer.
- In-depth knowledge of regulatory (UMIR/MX) and compliance requirements.
- Excellent verbal and written communication skills.
- Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
About Scotiabank
Scotiabank is a leading financial institution in Canada and the Caribbean, committed to delivering exceptional customer service and innovative financial solutions. We are dedicated to building a diverse and inclusive workplace culture that values the contributions of our employees.
