Compliance Risk Management Specialist

3 days ago

Old Toronto, Canada Scotiabank Full time
Job Description

We are seeking a highly skilled Compliance Risk Management Specialist to join our team in Toronto, Canada.

About Scotiabank

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

About the Role

This role will contribute to the overall performance of the Global Compliance Trade Surveillance Department within Global Banking and Markets & Treasury Compliance. The successful candidate will support the development and management of the GCTS Governance and Strategy program in compliance with governing regulations, internal policies and procedures, Service Level Agreements and enterprise standards.

Key Responsibilities

  • Focusing on developing a high level of understanding of products, markets, systems, regulations and personnel necessary to exercise judgement to identify, diagnose and problem-solve within policies and procedures.
  • Assisting in the development and enhancement of procedures and processes of the surveillance program governance.
  • Understanding how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Assisting in responding to regulatory and internal audit inquiries, including gathering documents and/or data extracts.
  • Providing support for any remediation or issue management to its closure.
  • Assisting in supporting the coordination of internal and external regulatory examinations and findings resolution monitoring/reporting.
  • Assisting other team members and providing coverage support within the team and other projects as assigned.
  • Actively pursuing effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk.
  • Collaborating with various stakeholders and global GCTS team to consolidate, construct and maintain KRIs and KPIs to monitor the effectiveness of the GCTS Governance and Strategy program.
  • Organizing, facilitating and participating in risk and control meetings and documenting and maintaining record keeping for these to ensure record keeping and documentation requirements are met.

Requirements

The ideal candidate will have:

  • 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).
  • A minimum of 3-5 years of related experience at a financial institution and/or regulated securities dealer.
  • The ability to work independently and with other staff across functional lines within the Bank.
  • An in-depth knowledge of regulatory and compliance requirements.
  • The ability to 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.

Compensation

The estimated salary for this role is $80,000 - $110,000 per year, depending on experience.

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