Head of Global Compliance and Trade Oversight

3 weeks ago

Canada Scotiabank Full time

Requisition ID:
# Join a purpose-driven team dedicated to achieving results within an inclusive and high-performing culture.
Purpose:
Lead a proactive team of compliance experts responsible for cross-border trade oversight (including exchange-traded and over-the-counter products) for the activities conducted by the Wealth Management and Global Banking and Markets & Treasury divisions in specified jurisdictions, ensuring compliance with regulatory standards. A key focus of this role is the continuous enhancement of the program's capabilities to fortify the global compliance framework.
Accountabilities:
- Direct and mentor the global trade oversight governance & strategy team, ensuring alignment with applicable regulations, including but not limited to the requirements of FINRA, FRB, CFTC, SEC, National Futures Association, IIROC, Bank of Canada, FCA, CNBV, and CBI.
- Develop, implement, and sustain risk assessments and programs to ensure compliance with relevant regulatory standards and inform the planning of the oversight program.
- Lead the global team in the deployment of effective oversight systems and processes, ensuring operational efficiency.
- Facilitate the design and implementation of new controls, alongside the enhancement and calibration of existing measures.
- Provide regular updates to key stakeholders, including timely reporting on regulatory compliance status to senior management, addressing any issues, deficiencies, or regulatory concerns.
- Serve as a subject matter expert for the ongoing improvement of the oversight program.
- Collaborate closely with the Compliance technology team and other stakeholders on trade oversight system-related data governance, enhancements, and deployments to establish a premier trade oversight program.
- Act as a change management leader to support the trade oversight team through compliance transformation initiatives.
- Coordinate internal investigations related to trading matters in collaboration with Compliance Advisory teams, including responses to trading-related regulatory inquiries.
- Assess potential risk areas and determine whether proposed trading systems, strategies, or individual trades can be executed within the parameters of trading regulations and internal policies, in conjunction with Compliance Advisory teams.
- Assist the Managing Director in evaluating team performance and skills, providing feedback on resource needs regularly.
- Represent the oversight program in interactions with external regulators, Internal Audit, Testing, and other investigative bodies.
- Inspire the team by fostering an inclusive work environment, effectively communicating vision, values, and business strategy, while managing succession and development planning for the team.
- Create an environment where the team pursues effective and efficient operations, ensuring the adequacy, adherence to, and effectiveness of daily business controls to meet obligations regarding operational risk, regulatory compliance risk, and conduct risk, including responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, and the Scotiabank Code of Conduct.
- Actively pursue effective and efficient operations while ensuring the adequacy, adherence to, and effectiveness of daily business controls to meet obligations regarding operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk.
- Champion a high-performance culture and implement a people strategy that attracts, retains, develops, and motivates the team by fostering an inclusive work environment, effectively communicating vision, values, and business strategy, while managing succession and development planning for the team.
Education/Experience:
- College Diploma or University Degree preferred.
- 3-5 years of management experience or leading a team of direct reports.
- 5 or more years of directly relevant investment industry experience with a Bank, Buy-side firm, or an IIROC member firm in a senior compliance or oversight role, or other relevant functional area.
- Familiarity with automated trade oversight solutions.
- Successful completion of the Canadian Securities Course, Conduct and Practices Handbook Course, Traders Training Course, Derivatives Fundamentals Course.
- Completion of relevant courses offered by U.S., U.K., and/or Asia-based regulators would be an asset.
- Comprehensive knowledge and understanding of the securities industry, including listed and OTC derivatives, and relevant regulatory and compliance best practices applicable to the Institutional activities of an IIROC member firm.
- Strong written and verbal business communication skills.
- Proficient in Microsoft applications (including Word, Excel, and PowerPoint) and familiar with internet and related applications used for compliance-related research.
- Strong analytical skills and attention to detail.
- Capable of managing multiple tasks simultaneously and meeting strict deadlines.
- Self-motivated, confident, and able to work both independently and collaboratively.
- High level of integrity.
Location(s): Canada : Ontario : Toronto
Scotiabank is a leading bank in the Americas

Guided by our purpose:
"for every future", we assist our customers, their families, and their communities in achieving success through a comprehensive range of advice, products, and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank and are committed to creating and maintaining an inclusive and accessible environment for everyone.

If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know.

If you require technical assistance, please click here. Candidates must apply online to be considered for this role.

We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

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