Compliance Officer

6 days ago

Old Toronto, Canada Scotiabank Full time

The Compliance Officer - Risk Management Specialist plays a crucial role in ensuring the overall success of Scotiabank's Global Banking Markets and Treasury (GBM&T) Canada operations.

Job Description

This position is responsible for supporting compliance testing for Scotiabank's GBM&T Canada operations, covering Canadian regulations applicable to all of Scotiabank's Canadian broker-dealer activities, including internal inspections, banking, investment management activities, corporate functions, cross-border testing engagements, and other financial services activities.

Main Responsibilities
  • Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Support Compliance Testing reviews based on regulatory requirements, processes, policies, and procedures to assess controls within the first and second lines of defense.
  • Understand applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with regulatory requirements, best practices, and internal policies and procedures.
  • Assist the team in responding to initiatives, audits, quality assurance reviews, and regulatory examinations.
  • Support testing reviews through planning/scoping, fieldwork, and reporting phases.
  • Escalate potential issues and exception items noted during the review process to senior management.
  • Ensure stakeholders respond appropriately to address all draft deficiencies noted during the fieldwork process.
  • Perform required administrative responsibilities in support of testing, including preparing and entering all issues and observations into a central repository, preparing testing reports to senior management detailing review findings and recommendations, and tracking and reporting the status of remediation and validation of open issues to senior management.
Requirements
  • A minimum of 2 years of compliance, audit, or regulatory exam support experience.
  • Familiarity with applicable OSFI, IIROC, OSC, and Montreal Exchange as well as extraterritorial broker dealer, swap dealer, and banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and commercial banking in Canada.
  • Strong attention to detail.
  • Ability to communicate effectively across all levels of an organization.
  • Solid ability to quickly review, assimilate, prioritize, and escalate issues to appropriate stakeholders.
  • Strong ability to manage compliance reviews and projects and meet deadlines.
  • Strong written and verbal communication skills.
  • Ability to work independently.
  • Excellent teamwork, interpersonal, and conflict resolution skills.
  • Highly organized and capable of dealing with complex projects.

Estimated Salary: $80,000 - $110,000 per year, depending on qualifications and experience.

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