Compliance Officer, Retail Surveillance Specialist
2 weeks ago
About the Role
We are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and internal policies.
Key Responsibilities
- Conduct compliance oversight and surveillance duties to detect violations and potential violations in accordance with applicable regulatory requirements.
- Contribute to a customer-focused culture to deepen client relationships and leverage broader bank relationships, systems, and knowledge.
- Execute the risk-based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure.
- Assist in identifying gaps in the existing compliance program and review and investigate compliance issues as they arise.
- Participate in special projects requiring specialist compliance input and expertise.
- Partner with other Global Compliance groups to ensure consistent and effective execution of the monitoring program across business units.
- Maintain a high level of awareness of compliance-related changes and developments in the securities industry.
- Understand how the bank's risk appetite and risk culture should be considered in the execution of day-to-day trade reviews.
Requirements
- College Diploma or University Degree (preferable) and/or 2 years relevant experience in the financial industry (preferably with a CIRO member firm).
- Relevant industry accreditations/courses such as CSI Industry courses or equivalents an asset.
- Good understanding of the general characteristics, attributes, and risk factors associated with various securities and investment strategies.
- Able to communicate effectively verbally and in writing.
- Strong analytical skills and a keen eye for detail.
- Well-developed inter-personal skills to provide a high level of service and maintain working relationships with assigned client groups and team members.
- Self-motivated, confident, and capable of working both independently and in a team environment.
- Results-oriented and high achiever.
- Reliable, consistent, disciplined, and high level of integrity.
- Tactful, diplomatic, and politely persistent.
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