Senior Compliance Officer, Trade Surveillance Specialist

3 weeks ago

Toronto, Ontario, Canada Scotiabank Full time

Key Responsibilities

The Senior Compliance Officer, Trade Surveillance will directly conduct capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division of Scotiabank. This role is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with regulatory requirements, particularly those established by securities regulations and Self-Regulatory Organizations, as well as internal policies and procedures.

Accountabilities

  • Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Conduct post-trade market-related surveillance to address alerts, analyze and address alerts using SMARTS and other surveillance applications, and identify and investigate any potential exchange/marketplace and regulatory rule violations by clients and/or traders.
  • Generate reporting for trade surveillance activities relating to specific GBM&T business lines, business divisions of Scotia Capital Inc, and/or defined products, as defined in the Procedures.
  • Act as a resource for the team by supporting the Trade Surveillance department Senior Manager(s) and assisting Compliance Officers and other Senior Compliance Officers in the execution of their duties. Act as a subject matter expert for issues involving business divisions, Operations, Finance, and any other external group as required.
  • Act independently, conduct research, and perform analyses in support of regulatory or marketplace inquiries, investigations, and/or examinations; including internal matters escalated to Trade Surveillance. Recommend solutions and actions to resolve outstanding issues. Escalate matters requiring further investigation or specialist assistance.
  • Develop and deliver annual, periodic, and ad hoc compliance training for team members based upon particular expertise. This may, on occasion, extend to external stakeholders.
  • Support the effectiveness testing of business supervision-related processes and controls, including the identification of gaps in the existing trade surveillance processes.
  • Assist in the development and enhancement of policies, procedures, and processes of the surveillance program. Assist other team members in continually evaluating compliance procedures and in drafting and updating procedures.
  • Provide backup support within the team and work on other projects as assigned.
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
  • Assist other team members, provide backup support, and guidance within the team and other projects as assigned. Accustomed to working in a collaborative team environment and contributes to the overall effectiveness of the Trade Surveillance Program.
  • Actively pursue the 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, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook, and the Guidelines for Business Conduct.
  • Actively participate in skills and product knowledge development through a variety of learning and training functions. This is an ongoing requirement to this developing area of Surveillance.

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