Senior Compliance Officer, Trade Surveillance
3 months ago
Requisition ID: 205599
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business division of Scotiabank. The SCO is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with 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 post-trade market related surveillance to address alerts. Analyze and address alerts using SMARTS and other surveillance applications. Identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders.
Generate reporting for trade surveillance activities relating to specific GBM&T business lines, business divisions of Scotia Capital Inc (“SCI”) and/or defined products, as defined in the Procedures.
Act as a resource for the team by supporting the Trade Surveillance department Senior Manager(s) and assisting Compliance Officers and other Senior Compliance Officers in the execution of their duties. Act as Subject matter expert for issues involving business divisions, Operations, Finance and any other external group as required.
Act independently, conduct research and perform analyses in support of regulatory or marketplace inquiries, investigations and/or examinations; including internal matters escalated to Trade Surveillance. Recommend solutions and actions to resolve outstanding issues. Escalate matters requiring further investigation or specialist assistance.
Develop and deliver annual, periodic and ad hoc compliance training for team members based upon particular expertise. This may, on occasion, extend to external stakeholders.
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 policies, procedures and processes of the surveillance program. Assist other team members in continually evaluating compliance procedures and in drafting and updating procedures.
Provide back-up support within the team and work on other projects as assigned.
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
Assist other team members, provide back-up support and guidance within the team and other projects as assigned. Accustomed to working in a collaborative team environment and contributes to the overall effectiveness of the Trade Surveillance Program.
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.
Actively participate in skills and product knowledge development through a variety of learning and training functions. This is an ongoing requirement to this developing area of Surveillance
Education/Experience
Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading, including knowledge of hedging and other trading strategies.
Post-Secondary education and/or professional designations.
Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course, DFOL, DFC or equivalent preferred.
Minimum of 5-7 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 (UMIR/MX) and compliance requirements.
Identify external market activity, news and additional factors that may influence trading activities.
A comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) 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 advanced excel macros, custom coding and desktop tool building capabilities.
Excellent verbal and written communication skills.
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.
Bilingual preferred (English/Spanish)
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