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Senior Compliance Officer, Trade Surveillance Specialist
2 months ago
We are seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team at Scotiabank. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.
Key Responsibilities- Surveillance and Monitoring: Conduct post-trade market related surveillance to address alerts, analyze and address alerts using SMARTS and other surveillance applications, and identify and investigate any potential exchange/marketplace and regulatory rule violations by clients and/or traders.
- Reporting and Analysis: Generate reporting for trade surveillance activities relating to specific GBM&T business lines, business divisions of Scotia Capital Inc, and/or defined products, as defined in the Procedures.
- Team Support: Act as a resource for the team by supporting the Trade Surveillance department Senior Manager(s) and assisting Compliance Officers and other Senior Compliance Officers in the execution of their duties.
- Research and Analysis: Act independently, conduct research and perform analyses in support of regulatory or marketplace inquiries, investigations, and/or examinations; including internal matters escalated to Trade Surveillance. Recommend solutions and actions to resolve outstanding issues. Escalate matters requiring further investigation or specialist assistance.
- Compliance Training: Develop and deliver annual, periodic, and ad hoc compliance training for team members based upon particular expertise. This may, on occasion, extend to external stakeholders.
- Process Improvement: Supports effectiveness testing of business supervision related processes and controls, including identification of gaps in the existing trade surveillance processes.
- Policy Development: Assist in the development and enhancement of policies, procedures, and processes of the surveillance program. Assist other team members in continually evaluating compliance procedures and in drafting and updating procedures.
- Backup Support: Provide back-up support within the team and work on other projects as assigned.
- Risk Management: Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Regulatory Compliance: Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
- Operational Efficiency: 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.
- Skills Development: Actively participate in skills and product knowledge development through a variety of learning and training functions. This is an ongoing requirement to this developing area of Surveillance.
- Advanced Knowledge: Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading, including knowledge of hedging and other trading strategies.
- Education and Experience: 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 Experience: Minimum of 5-7 years of related experience at a financial institution and/or regulated securities dealer.
- Skills and Abilities: Able to work independently and with other staff across functional lines within the Bank. In-depth knowledge of regulatory (UMIR/MX) and compliance requirements. Identify external market activity, news, and additional factors that may influence trading activities. Comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets. Proficiency in advanced excel macros, custom coding, and desktop tool building capabilities. Excellent verbal and written communication skills. Strong analytical and investigative skills and demonstrated ability to operate at a strategic level. Sound judgment in identifying risks in order to proactively escalate with relevant senior management. Bilingual preferred (English/Spanish).
