Senior Compliance Officer, Trade Surveillance Specialist

2 months ago

Toronto, Ontario, Canada Scotiabank Full time
Senior Compliance Officer, Trade Surveillance

Scotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. 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:
  • Conduct post-trade market related surveillance to address alerts and analyze potential exchange/marketplace and regulatory rule violations.
  • Generate reporting for trade surveillance activities and act as a resource for the team by supporting the Trade Surveillance department Senior Manager(s) and assisting Compliance Officers.
  • Develop and deliver annual, periodic, and ad-hoc compliance training for team members and external stakeholders.
  • Support the development and enhancement of policies, procedures, and processes of the surveillance program.
  • Provide back-up support within the team and work on other projects as assigned.
Requirements:
  • Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading, including knowledge of hedging and other trading strategies.
  • 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.
  • Able to work independently and with other staff across functional lines within the Bank.
  • In-depth knowledge of regulatory (UMIR/MX) and compliance requirements.
  • 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.
What We Offer:

Scotiabank offers a dynamic and inclusive work environment, competitive compensation and benefits package, and opportunities for professional growth and development.

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