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Director, Global Compliance Trade Surveillance Specialist
2 months ago
About Scotiabank
Scotiabank is a leading financial institution committed to delivering exceptional customer experiences and driving business growth through innovation and excellence.
Job Summary
We are seeking a highly skilled and experienced Director, Global Compliance Trade Surveillance to lead our trade surveillance team and ensure adherence to regulatory requirements.
Key Responsibilities
- Lead and mentor a global team of compliance professionals responsible for multijurisdictional trade surveillance, including exchange traded and over the counter products.
- Establish and implement business strategies, annual plans, and ongoing initiatives to strengthen the global trade surveillance program.
- Ensure compliance with governing regulations, internal policies, and procedures.
- Develop and maintain risk assessments and programs to drive compliance with applicable regulatory requirements.
- Lead the global team in supporting implementation of effective surveillance systems and processes.
- Facilitate design and deployment of new controls, as well as enhancement and calibration of existing controls.
- Provide regular reporting to relevant stakeholders, including senior business and compliance management.
- Provide subject matter expertise for the continual enhancement of the trade surveillance program.
- Work closely with the Compliance technology team and other stakeholders on trade surveillance system-related data governance, enhancements, and deployments.
- Act as a change management lead to support the trade surveillance team through the Compliance transformation.
- Coordinate internal investigations concerning trading-related matters.
- Evaluate areas of potential risk and determine whether proposed trading systems, strategies, or individual trades can be executed within the parameters of the trading rules and internal policies.
- Support Managing Director in evaluating performance and skills of staff and providing feedback on resource requirements.
- Represent the surveillance program in interactions with external regulators, Internal Audit, Testing, and any other investigative body.
- Motivate the team by fostering an inclusive work environment and communicating vision, values, and business strategy.
- Create an environment in which the team pursues effective and efficient operations, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls.
Requirements
- College Diploma or University Degree preferred.
- 3-5 years of management experience or leading a team of direct reports.
- 5 or more years of directly relevant investment industry experience with a bank, buy-side firm, or an IIROC member firm in a senior compliance or surveillance role.
- Exposure to automated trade surveillance solutions.
- Successful completion of the Canadian Securities Course, Conduct and Practices Handbook Course, Traders Training Course, Derivatives Fundamentals Course.
- Thorough knowledge and understanding of the securities industry, including listed and OTC derivatives, relevant regulatory and compliance best practices applicable to the Institutional activities of an IIROC member firm.
- Strong written and verbal business communication skills.
- Superior knowledge of Microsoft applications (including Word, Excel, and PowerPoint) and familiarity with the internet and related applications used to facilitate compliance-related research.
- Strong analytical skills and a keen eye for detail.
- Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
- Self-motivated, confident, and capable of working both independently and in a team environment.
- High level of integrity.
