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Compliance Officer, Retail Surveillance Specialist
2 months ago
Scotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.
Key Responsibilities:- Conduct compliance oversight and surveillance duties in accordance with applicable regulatory requirements, including CIRO Rule 3900 and internal policies.
- Identify and address potential violations and issues in a timely and efficient manner.
- 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.
- 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.
- 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.
At Scotiabank, we value the unique skills and experiences each individual brings to the bank. We are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation during the recruitment and selection process, please let our Recruitment team know.
