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Compliance and Risk Management Specialist

3 weeks ago

Toronto, Ontario, Canada Scotiabank Full time

The Advisory Team Lead, Scotiabank, is responsible for leading a team of compliance professionals focused on Global Capital Markets. This role requires a strong understanding of Canadian regulatory requirements and the ability to analyze complex issues.

You will work closely with senior leaders to ensure compliance with internal policies and procedures. This includes developing and implementing compliance and risk management initiatives, providing counsel and advice on Canadian trading-related compliance matters, and evaluating policies and advisory procedures.

Your Key Responsibilities

  • Lead a team of compliance professionals focused on Global Capital Markets.
  • Develop and implement compliance and risk management initiatives for Global Capital Markets.
  • Provide counsel and advice on Canadian trading-related compliance matters.
  • Evaluate and ensure that policies and advisory procedures reflect Canadian legislative and regulatory requirements.
  • Develop and deliver compliance training and education initiatives for stakeholders and business divisions.
  • Assist in responding to regulatory inquiries and gather documents/data extracts.
  • Conduct effectiveness testing of supervision processes and controls.

Requirements

  • Post-secondary education and/or professional designations.
  • A minimum of 3-5 years of experience in a large financial institution or securities/financial services agency.
  • An excellent understanding of MX and IIROC trading rules and related National Instruments.
  • Advanced knowledge of institutional equity, fixed income, and derivatives trading, including hedging strategies.
  • Strong leadership and team management skills.
  • Excellent analytical and problem-solving skills, strategic thinking, and attention to detail.
  • Fluent oral and written communication skills.
  • Ability to work independently and across functional lines.