Senior Compliance Officer, Trade Surveillance Specialist

2 months ago

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

Scotiabank is seeking a highly skilled Senior Compliance Officer to join our Global Banking and Markets team. As a key member of our Trade Surveillance team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support.

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.
  • Develop and deliver compliance training for team members and external stakeholders.
  • Support the development and enhancement of policies, procedures, and processes of the surveillance program.
  • Assist in the evaluation of compliance procedures and draft/update procedures as needed.
Requirements:
  • Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading.
  • 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.
  • 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 competitive compensation package, comprehensive benefits, and opportunities for professional growth and development.

  • Senior Compliance Officer, Trade Surveillance Specialist

    6 days ago

    Toronto, Ontario, Canada Scotiabank Full time

    Key ResponsibilitiesThe Senior Compliance Officer, Trade Surveillance will directly conduct capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division of Scotiabank. This role is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in...

  • Senior Compliance Officer, Trade Surveillance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Senior Compliance Officer, Trade SurveillanceRequisition ID: 205599Scotiabank 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 &...

  • Senior Compliance Officer, Trade Surveillance Specialist

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    Senior Compliance Officer, Trade SurveillanceScotiabank 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...

  • Senior Compliance Officer, Trade Surveillance Specialist

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    Senior Compliance Officer, Trade SurveillanceScotiabank 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...

  • Senior Compliance Officer, Trade Surveillance Specialist

    1 month ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Senior Compliance Officer, Trade SurveillanceScotiabank 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...

  • Senior Compliance Officer, Trade Surveillance Specialist

    1 month ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Senior Compliance Officer, Trade SurveillanceScotiabank 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...

  • Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Cross-Border Trade Compliance SpecialistWe are seeking a highly skilled and experienced Cross-Border Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and...

  • Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Cross-Border Trade Compliance SpecialistWe are seeking a highly skilled and experienced Cross-Border Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and...

  • Crossborder Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs...

  • Crossborder Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level trade compliance advice and guidance to our clients, ensuring compliance with all relevant...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level trade compliance advice and guidance to our clients, ensuring compliance with all relevant...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and maintaining a...

  • Crossborder Trade Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and maintaining a...

  • Compliance Officer, Trade Surveillance Specialist

    3 weeks ago

    Old Toronto, Ontario, Canada Scotiabank Full time

    As a Compliance Officer, Trade Surveillance Specialist at Scotiabank, you will play a critical role in ensuring the integrity of our trade surveillance program. Your primary responsibility will be to conduct post-trade market surveillance to identify and adjudicate alerts within the sector(s) you are responsible for supporting. You will also review...

  • Trade Surveillance Manager, Regulatory Compliance Specialist

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleThe Senior Compliance Officer, Trade Surveillance will play a critical role in ensuring the integrity of Scotiabank's trading activities. This position will be responsible for conducting surveillance and monitoring activities to identify and investigate potential trading irregularities.Key ResponsibilitiesConduct post-trade market surveillance...

  • Trade Surveillance Manager, Regulatory Compliance Specialist

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleThe Senior Compliance Officer, Trade Surveillance will play a critical role in ensuring the integrity of Scotiabank's trading activities. This position will be responsible for conducting surveillance and monitoring activities to identify and investigate potential trading irregularities.Key ResponsibilitiesConduct post-trade market surveillance...

  • Compliance Officer, Trade Surveillance Specialist

    3 weeks ago

    Old Toronto, Ontario, Canada Scotiabank Full time

    Job SummaryAs a Compliance Officer, Trade Surveillance, you will play a critical role in ensuring the integrity of our trade surveillance program. You will be responsible for conducting post-trade market-related surveillance, reviewing securities trade transactions, and identifying suspicious or high-risk activities.Key ResponsibilitiesChampion a...