Compliance Officer, Employee Trading, Gbm&T Compliance Canada, Global Compliance

 
 
Requisition ID: #
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Compliance Officer contributes to the overall success of the Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada program. The Compliance Officer will work closely with the Senior Manager, Employee Trading and others on the Employee Trading team , GBM&T Compliance Canada and a diverse set of stakeholders to provide ongoing support of the Employee Personal Trading compliance program in Canada program in line with Global Compliance’s strategy and initiatives. In particular, the incumbent is responsible for the  day-to-day administration of the Employee Personal Trading compliance program in Canada.
Is this role right for you? In this role you will:
-Support the day-to-day administration of the Employee Personal Trading compliance program in Canada, which includes the following:
-On-boarding new employees.
-Monitoring employee personal trading, reviewing and approving private placements, and addressing trade violations,
-Highlighting issues that may impact the effectiveness of the program and training.
-Acting as the point of contact for employees with questions related to the policies and programs the Employee Trading team oversees and escalating questions as needed.
-Assisting in preparation of reports and statistics for business lines and management.
-Assisting in gathering documents needed for responses to inquiries from internal audit or regulatory bodies as they relate to Employee Personal Trading functions.
-Other duties and projects as assigned. This includes acting as back up for another Compliance Officer when needed.
Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have:
-Post-Secondary education and/or professional designations
-Minimum of 3 years of related experience at a major financial institution
-In-depth knowledge of regulatory and compliance requirements
-Knowledge of industry practices regarding institutional compliance matters
-Effective oral and written communication skills
The following courses are an asset:
-Canadian Securities Course
-Conducts and Practices Handbook
-Derivatives Fundamental Course
-Trader’s Training Course
The following computer skills are an asset
-Bloomberg
-Microsoft applications (including Word, Excel and PowerPoint)
-Familiarity with the internet and related applications as tools for conducting compliance-related research
-An understanding of the Scotiabank organizational structure, risk management structure, operational procedures and the business activities, products and services offered by the business units would be an asset.
-An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules is an asset as is an understanding of Canadian securities and banking legislations.
Some more information you might want to know:
-You are results-oriented with strong organizational and time management skills as\ the incumbent works in a fast-paced environment and is expected to handle multiple tasks with stringent deadlines. Effectively performing this role involves working with the team to ensure that all tasks are being addressed.
-You will handle sensitive and confidential information and must have a high level of integrity.
-You are expected to act independently and arrive at conclusions or recommendations based on the exercise of good judgement on moderately complex decisions falling within standard policies and escalate matters beyond existing policies. Effectively performing this role involves consulting with the team and others as needed.
-You will interact on an ongoing basis with Executive and senior professional staff, generally on time sensitive items. The incumbent is required to respond with tact while ensuring compliance priorities and requirements are met.
-You are expected regulatory requirements and policy guidance with minimal supervision, provide advice to senior professional staff in the various business units, and identify, investigate and escalate any exception conditions to management. Functions must be performed accurately and reliably as errors or delays can have serious adverse regulatory implications.
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 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.