Associate, Trade Floor Supervision, Operational

Requisition ID: 149936 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Associate, Trade Floor Supervision, Operational Risk Oversight** **Purpose** Trade Floor Supervision is mandated to reduce the regulatory, reputational and operational risks associated to the sales and trading function on a global basis. This is accomplished by monitoring daily, weekly and monthly trading of equity, fixed income and derivative products on behalf of the desk heads and following up directly with traders and sales personnel. TFS acts as liaison between desk heads and compliance and provides support for the compliance functions locally. The Associate, TFS will monitor communications on Monitored Employees to ensure compliance against governing regulations, internal policies and procedures. **Accountabilities**: - Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. - The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated by GBM and Group Treasury staff. - The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication whether written (electronic) or oral (tapped lines). - This position works closely with the Associate Director of Trade Floor Supervision - Communications and may also need to interact from time to time with the senior management of Group Treasury and GBM globally. - The incumbent must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verify details of - communications (i.e. has understanding of the content) and determine accuracy (investigate using public sources). - Must be able to use judgment in managing highly sensitive information and/or situations. - Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies. - Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. - Actively pursues 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. - Champions a high-performance environment and contributes to an inclusive work environment. **Qualifications**: - Thorough analytical skills required to work with the various programs and information to ensure completeness of a communication. - Working knowledge of Securities law, regulations and trading rules - Ability to conduct detailed investigations and write concise reports in a timely manner. - Completion of the CSC, CPH, TTC, PDO preferred - Must be able to obtain US licensing with FINRA (SIE, Serie 7 & 24) within 18 months from the start date - Helpful to have proficiencies in French and Spanish. - University degree in Business, Economics or related Location(s): Canada : Ontario : Toronto Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.