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Senior Compliance Officer, Trade Surveillance Specialist
2 months ago
About the Role
The 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 capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division.
Key Responsibilities
- Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
- 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.
- 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.
- 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.
- 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.
- Develop and deliver annual, periodic, and ad hoc compliance training for team members based upon particular expertise.
- Support the effectiveness testing of business supervision-related processes and controls, including identification of gaps in the existing trade surveillance processes.
- Assist in 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.
- Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
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.
- 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 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).
