Compliance Risk Manager

2 weeks ago

Toronto, Ontario, Canada Scotiabank Full time

Overview of Scotiabank

Scotiabank is a leading bank in the Americas, guided by our purpose: For every future, we help our customers, their families and their communities achieve success through a broad range of advice, products and services.

About this Role

We are seeking an experienced Compliance Officer to join our Global Compliance Trade Surveillance Department. As a Compliance Officer, you will contribute to the overall performance of our department, supporting the development and management of our governance and strategy program in compliance with governing regulations, internal policies and procedures, Service Level Agreements and enterprise standards.

Key Responsibilities

  • Develop a high level of understanding of our products, markets, systems, regulations and personnel necessary to exercise judgment to identify, diagnose, and problem-solve within our policies and procedures.
  • Assist in developing and enhancing procedures and processes of our surveillance program governance.
  • Understand how our risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Assist in responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts. Actively provide support for any remediation or issue management to its closure.
  • Support the coordination of internal and external regulatory examinations and findings resolution monitoring / reporting.
  • Collaborate with various stakeholders and global GCTS team to consolidate, construct and maintain KRIs and KPIs to monitor the effectiveness of our GCTS Governance and Strategy program.
  • Organize, facilitate and participate in risk and control meetings and document and maintain record keeping for these to ensure record keeping and documentation requirements are met.

Compensation Package

The estimated annual salary for this role is around $120,000 - $150,000 CAD, depending on experience. Our comprehensive compensation package also includes additional benefits such as competitive bonus structures, retirement savings plans, and access to a wide range of employee discounts and perks.

Required Skills and Qualifications

  • Post-secondary education and/or professional designations.
  • Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferred.
  • Minimum of 3-5 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 and compliance requirements.
  • Identify external market activity, news and additional factors that may influence trading activities.
  • A 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, Dodd-Frank Act, Volcker Rule and MiFID II or MAR.
  • Proficiency in excel macros, custom coding and desktop tool building capabilities preferred but not required.
  • 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.
  • Excellent oral and written communication skills.

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