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Investment Compliance Specialist

1 month ago

Old Toronto, Canada Scotiabank Full time
Job Description

We are seeking a highly skilled Investment Compliance Specialist to join our team at Scotiabank.

About the Role

This is an exciting opportunity for a detail-oriented and analytical professional to work in a fast-paced environment, ensuring compliance with regulatory requirements and internal policies.

Key Responsibilities
  1. Conduct regular reviews of trading and portfolio management activities to identify potential compliance breaches.
  2. Investigate and resolve trading compliance violations in a timely manner, providing appropriate responses to ensure prompt execution of trades.
  3. Monitor daily trades, including derivative strategies, to identify potential compliance gaps and provide oversight on cash cover requirements.
  4. Assist the Compliance team in monitoring personal trading of employees and assist employees with understanding the rules of the monitoring program.
  5. Develop a thorough understanding of investment strategies employed by 1832 LP and assist in ensuring strategies are controlled within the electronic trading surveillance system.
Requirements
  • Post-secondary education in a related discipline (business administration, economics, finance).
  • Knowledge of National Instrument 81-102 is an asset.
  • Advanced knowledge of Excel is a must.
  • Experience in Charles River Compliance Module is an asset.
About Scotiabank

Scotiabank is a leading financial institution committed to delivering exceptional client experiences and driving growth through innovation. As a member of our team, you will have access to opportunities for professional development and contribute to the bank's success.

Salary Information

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