Senior Compliance Officer Senior Compliance Officer …

Scotiabank
in Toronto, ON, Kanada
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
Scotiabank
in Toronto, ON, Kanada
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
Senior Compliance Officer
Requisition ID: 67144

Join the Global Community of Scotiabankers to help customers become better off.

POSITION SUMMARY

Contributes to the overall success of the GBM&T Compliance team responsible for supporting Global Banking and Markets ("GBM") businesses through administration of Control Room compliance programs to manage conflicts of interest, to maintain the global Watch and Restricted Lists and to comply with regulatory requirements with respect to trading (firm, employee and client) and publication of research.

KEY ACCOUNTABILITIES

Participates as a member of the Control Room ("CR") Employee Trading team responsible for:
  • Working in conjunction with management and business line employees to determine which departments or employees have access to confidential information and should be included in a personal trading program that includes trade pre-clearance and monitoring.
  • Monitoring employee personal trading.
  • Preparing reports and statistics for business lines and management.
  • Reviewing and recommending approval of employee outside business activities and outside directorships to management, as appropriate.
  • Acting as a point of contact for day to day questions related to the policies and programs the Control Room oversees and escalating questions as needed.
  • Assisting with the development and delivery of internal policies and procedures to enhance the effectiveness of program delivery and reflect changes in regulatory requirements. This may include assisting with the development and delivery of employee training.
  • Preparing and submitting insider trade reports for reporting insiders of the Bank on the System for Electronic Disclosure by Insiders.
  • Other duties and projects as assigned. This includes acting as back up for another senior compliance officer when needed.

EDUCATION AND WORK EXPERIENCE
  • Post-Secondary education and/or professional designations.
  • Completion of the Canadian Securities Course is required. Other education with a focus on the financial services industry, preferably with exposure to regulatory compliance, operations, technology, audit or risk management functions would be an asset.
  • Minimum of 5 years of related experience at a major financial institution.
  • Experience using MS Office.

ADDITIONAL REQUIREMENTS
  • Strong interpersonal & communication skills, both written and oral.
  • Experience working in a task and results oriented team environment.
  • Must be results oriented with strong organizational and time management skills.
  • Must have well-developed analytical and critical thinking skills.

WORKING ENVIRONMENT
  • Business casual attire.
  • Workloads are subject to time pressures due to trading environment sensitivities and changes in priorities primarily due to varying volumes and non-controllable external factors.


Location(s): Canada : Ontario : Toronto
As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. 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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