Director, Global Compliance Trade Surveillance
4 months ago
Requisition ID: 203745
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
Lead a dynamic team of compliance professionals responsible for multijurisdictional trade surveillance (including exchange traded and over the counter products) of the activities conducted by the Wealth Management and Global Banking and Markets & Treasury business lines in designated jurisdictions to assure adherence with regulatory requirements. Continual expansion of the programs capabilities to strengthen the global program is a key focus of this role. The incumbent will establish and implement business strategies, annual plans and ongoing initiatives and ensure they are executed / delivered in compliance with governing regulations, internal policies and procedures.
Accountabilities
Leads and mentors the global trade surveillance governance & strategy team who support surveillance activities with applicable regulations, including but not limited the requirements of FINRA, FRB, CFTC, SEC, National Futures Association, IIROC, Bank of Canada, FCA, CNBV and CBI.
Establishes, implements, and maintains risk assessments and programs to drive compliance with applicable regulatory requirements and inform the surveillance program planning.
Leads the global team in supporting implementation of effective surveillance systems and processes and ensuring those programs are operating effectively.
Facilitates design and deployment of new controls, in addition to the enhancement and calibration of existing controls.
Provides regular reporting to relevant stakeholders including reporting on the status of regulatory compliance to senior business and compliance management in a timely manner in accordance with applicable regulations including remediation of issues, deficiencies, or regulatory matters.
Provides subject matter expertise for the continual enhancement of the surveillance program.
Works closely with the Compliance technology team and other stakeholders on trade surveillance system related data governance, enhancements, and deployments to create a best-in-class trade surveillance program.
Acts as a change management lead to support the trade surveillance team through the Compliance transformation.
Coordinates internal investigations concerning trading related matters in conjunction with the Compliance Advisory teams, including responses to trading related regulatory inquiries.
Evaluates areas of potential risk and determines whether proposed trading systems, strategies or individual trades can be executed within the parameters of the trading rules and internal policies of the business lines, in conjunction with the Compliance Advisory teams.
Supports Managing Director in evaluating performance and skills of staff and providing feedback on resource requirements on a regular basis.
Represents the surveillance program in interactions with external regulators, Internal Audit, Testing and any other investigative body.
Motivates their team by fostering an inclusive work environment, communicating vison/values/business strategy and managing succession and development planning for the team.
Creates an environment in which his/her team 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 and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, GCTS Program Framework and the Scotiabank Code of Conduct.
Understands 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 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
College Diploma or University Degree preferred.
3-5 years of management experience or leading a team of direct reports.
5 or more years of directly relevant investment industry experience with a Bank, Buy-side firm or an IIROC member firm in a senior compliance or surveillance role, or other relevant functional area.
Exposure to automated trade surveillance solutions.
Successful completion of the Canadian Securities Course, Conduct and Practices Handbook Course, Traders Training Course, Derivatives Fundamentals Course.
Completion of relevant courses offered by U.S., U.K. and/or Asia-based regulators would be an asset.
Thorough knowledge and understanding of the securities industry, including listed and OTC derivatives, relevant regulatory and compliance best practices applicable to the Institutional activities of an IIROC member firm.
Strong written and verbal business communication skills.
Superior knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the internet and related applications used to facilitate compliance related research.
Strong analytical skills and a keen eye for detail.
Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
Self-motivated, confident, and capable of working both independently and in a team environment.
High level of integrity.
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