Compliance Specialist

1 month ago

Toronto, Ontario, Canada Scotiabank Full time

About the Role

As a Compliance Specialist at Scotiabank, you will contribute to the overall success of the Scotia iTRADE Account Supervision team in Canada. Your primary responsibility will be to ensure specific individual goals, plans, and initiatives are executed and delivered in support of the team's business strategies and objectives.

Key Accountabilities

  • Champion a high-performance environment and contribute to an inclusive work environment.
  • Maintain thorough knowledge and understanding of compliance, regulatory, and credit rules and regulations as it applies to the industry and the firm.
  • Conduct near real-time and post-trade market-related reviews to address alerts, identify, and investigate any potential exchange/marketplace and regulatory rule violations.
  • Identify potential and actual compliance issues and concerns, conduct the necessary follow-up inquiries and reviews, ensuring that appropriate corrective actions are implemented in a timely manner.
  • Prepare materials in response to regulatory or internal audit inquiries.
  • Provide back-up support within the team and other projects as assigned.
  • Identify gaps in existing supervision programs and participate in developing, maintaining, and implementing changes to the firm's policies and procedures.
  • Assist with designated supervisor tasks, such as registration, continuing education, staff attestation as assigned.
  • Provide specified approvals or assess requests for approval and make a recommendation to Senior Manager.
  • Demonstrate and apply full understanding of the implications of dealing with regulatory issues, while ensuring that the confidentiality of customer information is maintained at all times.
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.

Requirements

  • Successful completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Derivatives Fundamentals and Options Licensing Course (DFOL).
  • Successful completion of the Branch Manager's Course and Options Supervisor Course subsequent to job posting, if not already obtained.
  • Thorough knowledge of industry, compliance, and trading policies.
  • Prior investment industry and brokerage industry experience.
  • Thorough knowledge of PC systems, including Broadridge, SCORE, AS400, Thompson ONE, Microsoft Excel, and other supporting applications.
  • Strong analytical skills, as well as a high degree of judgment and organizational skills and initiative to deal with diverse and complex inquiries, problems relating to Scotia iTrade products and services.
  • Results-oriented with the ability to work in a fast-paced environment where volumes are dictated by market trends, customer demands, seasonal peaks, and advertising campaigns.
  • Ability to work independently within the boundaries of existing policies and guidelines. Complex situations and issues not encompassed within the guidelines should be referred to management.
  • The individual should be proactive in their monitoring and have initiative to change their tasks as necessary and to advise management of necessary changes and modifications as the job continues to evolve.

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