Compliance Officer, Global Compliance Trade Surveillance
2 weeks ago
Requisition ID: 210469
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business divisions of Scotiabank. The Compliance Officer (“CO”) is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with global and local regulatory requirements (in particular, those established by securities regulations and Self-Regulatory Organizations) as well as internal policies and procedures.
Accountabilities
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Conduct near real-time and post-trade market related surveillance to address alerts (analyze and address alerts using the Nasdaq Trade Surveillance) for Listed Derivatives (Options and Futures); identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders.
- Acts independently, conducting research and performing analyses on regulatory or marketplace (Montreal Exchange) inquiries, investigations and/or examinations; including internal matters escalated to Trade Surveillance to recommend solutions and actions to take; based on exercising good judgment on moderately complex decisions falling within standard policies and to escalate matters beyond existing policies.
- Supports effectiveness testing of business supervision related processes and controls, including identification of gaps in the existing trade surveillance processes.
- Assist in the development and enhancement of procedures and processes of the surveillance program.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Assist in responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts .
- Assist other team members and provide back-up support within the team and other projects as assigned.
- 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 implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.
Education/Experience
- Post-Secondary education and/or professional designations
- Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferred
- Minimum of 3-5 years of related experience at a financial institution and/or regulated securities dealer
- Able to work independently and with other staff across functional lines within the Bank
- In-depth knowledge of regulatory and compliance requirements
- Identify external market activity, news and additional factors that may influence trading activities
- A comprehensive understanding of the Canadian Investment Regulatory Organization (CIRO) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets, Dodd-Frank Act, Volcker Rule and MiFID II or MAR
- Proficiency in excel macros, custom coding and desktop tool building capabilities preferred but not required
- Strong analytical and investigative skills and demonstrated ability to operate at a strategic level
- Sound judgment in identifying risks in order to proactively escalate with relevant senior management
- Excellent oral and written communication skills
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.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.
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