Current jobs related to Compliance Director - Toronto, Ontario - Scotiabank

  • Executive Director Position

    4 weeks ago

    Old Toronto, Ontario, Canada Director File Full time

    Executive Director OpportunityWe are seeking a visionary leader to co-lead Canada's largest professional theatre for young audiences. As Executive Director, you will be responsible for collaborating with the Artistic Director to inspire and promote a collaborative theatre spirit amongst staff, volunteers, and the artistic community.Key...

  • Compliance Director

    1 month ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to lead our compliance efforts. As a key member of our Legal Group, the Director of Compliance will be responsible for developing and implementing regulatory compliance strategies to ensure our organization's adherence to industry standards.Key...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to lead our compliance efforts. As a key member of our Legal Group, the Director of Compliance will be responsible for developing and implementing regulatory compliance strategies to ensure our organization's adherence to industry standards.Key...

  • Compliance Director

    2 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our team. As a key member of our Legal Group, you will be responsible for implementing and maintaining our regulatory compliance management program.Key Responsibilities:Develop and implement policies and procedures to...

  • Compliance Director

    5 days ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our team. As a Compliance Director, you will be responsible for implementing regulatory compliance within our organization. This role will be part of our Legal Group at Momentum Financial Services Group. The successful...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled Director, Compliance to join our team.Job SummaryWe are looking for a seasoned compliance professional to lead our regulatory compliance management program. The successful candidate will be responsible...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled Director, Compliance to join our team.Job SummaryWe are looking for a seasoned compliance professional to lead our regulatory compliance management program. The successful candidate will be responsible...

  • Compliance Director

    3 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    Aviso Wealth is a leading wealth management and investment services provider for the Canadian financial industry. We're seeking a highly skilled Director, Chief Compliance Officer, NEI to join our Asset Management team.The ideal candidate will have a strong background in compliance and risk management, with a proven track record of ensuring regulatory...

  • Compliance Director

    3 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Title: Compliance DirectorJob Summary:We are seeking a highly skilled Compliance Director to join our team at Royal Bank of Canada. As a key member of our Compliance and Risk Management department, you will be responsible for overseeing the development and implementation of compliance operations across the organization.Key Responsibilities:* Develop and...

  • Compliance Director

    1 month ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...

  • Compliance Director

    1 month ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...

  • Compliance Director

    3 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our Legal Group. As a key member of our team, you will be responsible for developing, implementing, and maintaining our regulatory compliance management program. This includes consumer protection and privacy...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled and experienced Director, Compliance to join our team.Job SummaryThe successful candidate will be responsible for developing, implementing, and maintaining key areas of the regulatory compliance...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled and experienced Director, Compliance to join our team.Job SummaryThe successful candidate will be responsible for developing, implementing, and maintaining key areas of the regulatory compliance...

  • Compliance Director

    3 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Compliance DirectorJob Summary:Momentum Financial Services Group_new is seeking a Compliance Director to implement regulatory compliance within our organization. This role will be part of our Legal Group and will be responsible for developing, enhancing, implementing, and maintaining key areas of the regulatory compliance management program,...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to join our Legal Group as a Director of Compliance. This role will be responsible for developing and implementing key areas of the regulatory compliance management program, including consumer protection and privacy.Key Responsibilities:Develop and...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to join our Legal Group as a Director of Compliance. This role will be responsible for developing and implementing key areas of the regulatory compliance management program, including consumer protection and privacy.Key Responsibilities:Develop and...

  • Director, Governance and Compliance

    2 months ago

    Toronto, Ontario, Canada Equitable Bank Full time

    About the RoleThis is a senior-level position responsible for providing strategic guidance and support to the Board of Directors and its committees at Equitable Bank. The successful candidate will have a strong background in corporate governance, compliance, and regulatory affairs, with a proven track record of implementing effective governance practices and...

  • Director, Governance and Compliance

    2 months ago

    Toronto, Ontario, Canada Equitable Bank Full time

    About the RoleThis is a senior-level position responsible for providing strategic guidance and support to the Board of Directors and its committees at Equitable Bank. The successful candidate will have a strong background in corporate governance, compliance, and regulatory affairs, with a proven track record of implementing effective governance practices and...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Director, Global Compliance Trade SurveillanceRequisition ID: 203745Scotiabank is seeking a highly skilled and experienced professional to lead our global trade surveillance program. As a key member of our Compliance team, you will be responsible for ensuring the effective implementation and maintenance of our trade surveillance systems and...

Compliance Director

2 months ago

Toronto, Ontario, Canada Scotiabank Full time
Job Title: Director, Global Compliance Trade Surveillance

Requisition ID: 203745

We are seeking a highly skilled and experienced Director to lead our Global Compliance Trade Surveillance team. As a key member of our Compliance organization, you will be responsible for ensuring the effective implementation and maintenance of our trade surveillance program across multiple jurisdictions.

Key Responsibilities:
  • Lead and mentor a team of compliance professionals responsible for multijurisdictional trade surveillance.
  • Establish and implement business strategies, annual plans, and ongoing initiatives to strengthen the global program.
  • Ensure compliance with regulatory requirements, internal policies, and procedures.
  • Develop and maintain risk assessments and programs to drive compliance with applicable regulatory requirements.
  • Provide regular reporting to relevant stakeholders on the status of regulatory compliance.
  • Collaborate with the Compliance technology team and other stakeholders on trade surveillance system-related data governance, enhancements, and deployments.
  • Act as a change management lead to support the trade surveillance team through the Compliance transformation.
  • Evaluate areas of potential risk and determine whether proposed trading systems, strategies, or individual trades can be executed within the parameters of the trading rules and internal policies.
Requirements:
  • 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 surveillance role.
  • Exposure to automated trade surveillance solutions.
  • Successful completion of the Canadian Securities Course, Conduct and Practices Handbook Course, Traders Training Course, Derivatives Fundamentals Course.
  • Strong written and verbal business communication skills.
  • Superior knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the internet and related applications used to facilitate compliance-related research.
About Scotiabank:

Scotiabank is a leading financial institution committed to delivering exceptional customer experiences and driving growth through innovation and excellence.